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Lockyer defeats Roberti-Roos Challenge
in California Supreme Court
Filed 6/29/00
| PETER ALAN KASLER et al.,
)
) Plaintiffs and Appellants, ) ) v. ) ) BILL LOCKYER, as Attorney General, ) etc., et al., ) ) Defendants and Respondents. ) ) |
S069522 Ct.App. 3 No. C017769 Sacramento County Super.Ct.No. CV519977 |
In enacting the Roberti-Roos Assault Weapons Control Act of 1989 (Stats.
1989, ch. 19, § 3, p. 64; hereafter AWCA), the Legislature imposed
restrictions on a class of semiautomatic firearms it characterized as “assault
weapons.” (Pen. Code, § 12275 et seq.) The restrictions
were necessary, the Legislature found and declared, because each of the
semiautomatic firearms designated as an assault weapon had “such a high
rate of fire and capacity for firepower that its function as a legitimate
sports or recreational firearm is substantially outweighed by the danger
that it can be used to kill and injure human beings.” (§ 12275.5.)
It did not intend, the Legislature stressed, to place restrictions on weapons
“primarily designed and intended for hunting, target practice, or other
legitimate sports or recreational activities.” (Ibid.)
Prior to amendment of the AWCA in 1999 (the 1999 amendments)
(Stats. 1999, ch. 129, § 7 et seq.), semiautomatic firearms were designated
as assault weapons by (1) being listed by type, series, and model in section
12276, or (2) by being declared an assault weapon under a procedure set
forth in section 12276.5. Under the latter procedure, which is commonly
referred to as the add-on provision, certain superior courts, upon petition
by the Attorney General, may be called upon to declare a firearm an assault
weapon because of its essential similarity to a listed assault weapon.
With its 1999 amendments to the AWCA, the Legislature took a third approach
to designating assault weapons—defining them in section 12276.1, subdivision
(a)(1)(A) in terms of generic characteristics, for example, a “semiautomatic,
centerfire rifle that has the capacity to accept a detachable magazine”
and also has a “pistol grip that protrudes conspicuously beneath the action
of the weapon.” (Stats. 1999, ch. 129, § 7.) It bears
repeating that the 1999 amendments were additive in this respect.
Neither the list method of designating assault weapons in section 12276
nor the add-on provision of section 12276.5 was abandoned or textually
modified by the 1999 amendments. This case arose prior to the enactment
of the 1999 amendments, and the parties agree that the 1999 amendments
do not render the issues before us moot.
Plaintiffs challenged the constitutionality of the AWCA in a
taxpayers’ suit to enjoin its enforcement. The trial court sustained
a demurrer without leave to amend except as to one cause of action, and
when plaintiffs declined to amend, dismissed the action. The Court
of Appeal reversed. It held the AWCA unconstitutional on the following
grounds: (1) the section 12276 list of assault weapons violates principles
of equal protection because it is irrationally under-inclusive; (2) the
add-on provision of section 12276.5 violates the separation of powers doctrine
by delegating legislative power to the courts; and (3) the AWCA violates
due process because it is unduly vague and fails to give advance warning
of the conduct prohibited by it. We conclude the AWCA does not violate
the equal protection or separation of powers doctrines and that the due
process claim fails as a facial challenge to the AWCA. Accordingly,
we reverse the judgment of the Court of Appeal. In the discussion
that follows, we summarize the relevant provisions of the AWCA as we address
each of plaintiffs’ constitutional challenges. For the convenience
of the reader, the full text of the relevant provisions of the AWCA as
amended in 1999 may be found in the appendix.
I. DISCUSSION
A. Equal Protection
In section 12276, the Legislature listed semiautomatic
firearms—rifles, pistols, and shotguns—considered to be assault weapons,
specifying such firearms by type, series, and model. Plaintiffs contend
the AWCA violates the principles of equal protection embodied in the state
and federal Constitutions because the Legislature failed to include in
the section 12276 list certain weapons that are identical to, or indistinguishable
from, listed weapons. The short answer to this argument, the Attorney
General contends, is that the equal protection clauses of the federal and
state Constitutions protect persons. Guns are things, not persons.
Therefore, equal protection principles do not protect guns from unequal
treatment.
The Attorney General’s analysis finds some support in two recent
cases: Benjamin v. Bailey (Conn. 1995) 662 A.2d 1226 (Benjamin), and California
Rifle & Pistol Assn. v. City of West Hollywood (1998) 66 Cal.App.4th
1302 (California Rifle). In Benjamin, the Supreme Court of Connecticut,
in the course of considering various constitutional challenges to an assault
weapons ban, stated: “The equal protection clauses of the federal
and state constitutions apply only to ‘persons.’ [Citations.]
The plaintiffs’ challenge relates to classifications among weapons, not
persons. . . . Accordingly, the plaintiffs have not raised a claim that
falls within the scope of the constitutional guarantee they seek to invoke.”
(Benjamin, supra, 662 A.2d at pages 1235-1237, fn. omitted.) In California
Rifle, the Court of Appeal reached the same conclusion in upholding a city
ordinance banning the sale of “Saturday Night Specials.” “The general
rule is that persons who are similarly situated in relevant respects must
be treated equally by the law. Obviously, a handgun is not a person,
and hence there is no constitutional compulsion for a state’s laws to treat
all handguns alike. . . . The equal protection clause simply does not protect
guns from unequal legal treatment.” (California Rifle, supra, 66
Cal.App.4th at p. 1326.)
Holding that only persons, not things, are protected from unequal
legal treatment was something of a makeweight in both cases because the
courts went on to consider and reject the equal protection challenges on
the merits. (See Benjamin, supra, 662 A.2d at pp. 1237-1240; California
Rifle, supra, 66 Cal.App.4th at p. 1329.) As the Court of Appeal
in this case noted, the argument made by the Attorney General “overlooks
the fact that it is the persons who make and own guns who are penalized.”
The Connecticut Supreme Court in Benjamin acknowledged this point in rejecting
the equal protection challenge raised there. “Even if the plaintiffs’
argument were construed as an allegation that people who possess a listed
firearm are treated differently from people who possess an unlisted firearm,
and that this disparate treatment violates principles of equal protection,
the plaintiffs would not prevail on the merits of this claim.” (Benjamin,
supra, 662 A.2d at p. 1237.) Courts not uncommonly refer to issues
of equal protection as involving discrimination among things when they
mean discrimination among persons having interests in those things.
For example, in Minnesota v. Clover Leaf Creamery Co. (1981) 449 U.S. 456,
a case that will be further discussed below, the United States Supreme
Court characterized the controversy there as centering on “the narrow issue
whether the legislative classification between plastic and nonplastic nonreturnable
milk containers is rationally related to achievement of the statutory purposes.”
(Id. at p. 463, fn. omitted.) We have used such shorthand ourselves.
(See, e.g., Cossack v. City of Los Angeles (1974) 11 Cal.3d 726, 734 [a
ban on pinball games, were it intended to proscribe games of skill, would
constitute a denial of equal protection of the laws, “since there would
be an arbitrary discrimination against the limited number of games of skill
falling within its terms”].)
The shortcut suggested by the Attorney General having turned
out to be blind alley, we must address plaintiffs’ equal protection challenge
on the merits, and the threshold question we confront is which standard
of review applies. “In D’Amico v. Board of Medical Examiners (1974)
11 Cal.3d 1, we described the two principal standards or tests that generally
have been applied by the courts of this state and the United States Supreme
Court in reviewing classifications that are challenged under the equal
protection clause of the Fourteenth Amendment of the United States Constitution
or article I, section 7, of the California Constitution. As the court
in D’Amico explained: ‘The first is the basic and conventional standard
for reviewing economic and social welfare legislation in which there is
a “discrimination” or differentiation of treatment between classes or individuals.
It manifests restraint by the judiciary in relation to the discretionary
act of a co-equal branch of government; in so doing it invests legislation
involving such differentiated treatment with a presumption of constitutionality
and “requir[es] merely that distinctions drawn by a challenged statute
bear some rational relationship to a conceivable legitimate state purpose.”
[Citation.] . . . Moreover, the burden of demonstrating the invalidity
of a classification under this standard rests squarely upon the party who
assails it.’ (11 Cal.3d at pp. 16-17, italics in original.)
[] The court in D’Amico further explained that ‘[a] more stringent
test is applied . . . in cases involving “suspect classifications” or touching
on “fundamental interests.” Here the courts adopt “an attitude of
active and critical analysis, subjecting the classifications to strict
scrutiny. [Citations.] Under the strict standard applied in
such cases, the state bears the burden of establishing not only that it
has a compelling interest which justifies the law but that the distinctions
drawn by the law are necessary to further its purpose.” [Citation.]’
(11 Cal.3d at p. 17.)” (Warden v. State Bar (1999) 21 Cal.4th 628,
640-641, fn. omitted.)
Although plaintiffs assert the AWCA fails to satisfy even the
rational basis test, they contend it should be reviewed under the “intermediate
or even strict scrutiny standards of legal review” because “portions of
the [AWCA] touch upon [an] express fundamental constitutional right.”
This fundamental right plaintiffs locate in article 1, section 1 of the
California Constitution, which provides: “All people are by nature
free and independent and have inalienable rights. Among these are
enjoying and defending life and liberty, acquiring, possessing, and protecting
property, and pursuing and obtaining safety, happiness, and privacy.”
If plaintiffs are implying that a right to bear arms is one of the rights
recognized in the California Constitution’s declaration of rights, they
are simply wrong. No mention is made in it of a right to bear arms.
(See In re Rameriz (1924) 193 Cal. 633, 651 [“The constitution of this
state contains no provision on the subject.”].) Moreover, “[i]t is
long since settled in this state that regulation of firearms is a proper
police function.” (Galvan v. Superior Court (1969) 70 Cal.2d 851,
866.) We reject any suggestion that the regulations at issue here
impermissibly infringe upon the right to defend life or protect property
guaranteed by the California Constitution.
Therefore, as the AWCA does not burden a fundamental right under
either the federal or the state Constitutions, the rational basis test
applies. (See Peoples Rights Organization, Inc. v. City of Columbus
(6th Cir. 1998) 152 F.3d 522, 531-533; Coalition of New Jersey Sportsmen,
Inc. v. Whitman (D.N.J. 1999) 44 F.Supp.2d 666, 685; California Rifle,
supra, 66 Cal.App.4th at p. 1329; Suter v. City of Lafayette (1997) 57
Cal.App.4th 1109, 1133; In re Evans (1996) 49 Cal.App.4th 1263, 1270.)
This premise was challenged recently, insofar as the state Constitution
is concerned, in Warden v. State Bar, supra, 21 Cal.4th 628. In Serrano
v. Priest (1976) 18 Cal.3d 728, we had noted that “our state equal protection
provisions, while ‘substantially the equivalent of ’ the guarantees contained
in the Fourteenth Amendment to the United States Constitution, are possessed
of an independent vitality,” and, “in a given case,” we observed, the state
provisions “may demand an analysis different from that which would obtain
if only the federal standard were applicable.” (18 Cal.3d at p. 764.)
In Warden, a more sweeping question was raised—whether the rational relationship
test adequately expresses the state constitutional guarantee. (Warden
v. State Bar, supra, 21 Cal.4th at pp. 628, 660-667 (dis. opn. of Brown,
J.) [“means scrutiny” is the appropriate test under the Cal. Const.].)
The majority of this court, however, adhered to the rational relationship
test and restated it as follows: “As both the United States Supreme
Court and this court have explained on many occasions, ‘[i]n areas of social
and economic policy, a statutory classification that neither proceeds along
suspect lines nor infringes fundamental constitutional rights must be upheld
against equal protection challenge if there is any reasonably conceivable
state of facts that could provide a rational basis for the classification.
[Citations.] Where there are “plausible reasons” for [the classification]
“our inquiry is at an end.” ’ (FCC v. Beach Communications, Inc.
(1993) 508 U.S. 307, 313, italics added, quoting U.S. Railroad Retirement
Bd. v. Fritz (1980) 449 U.S. 166, 179; see, e.g., Central State University
v. Amer. Assoc. of University Professors (1999) [526] U.S. [124]; Werner
v. Southern Cal. etc. Newspapers (1950) 35 Cal.2d 121, 130-132.)
Past decisions also establish that, under the rational relationship test,
the state may recognize that different categories or classes of persons
within a larger classification may pose varying degrees of risk of harm,
and properly may limit a regulation to those classes of persons as to whom
the need for regulation is thought to be more crucial or imperative.
(See, e.g., American Bank & Trust Co. v. Community Hospital (1984)
36 Cal.3d 359, 371; Williamson v. Lee Optical Co., supra, 348 U.S. 483,
489 [‘Evils in the same field may be of different dimensions and proportions,
requiring different remedies. Or so the legislature may think.
[Citation.] Or the reform may take one step at a time, addressing
itself to the phase of the problem which seems most acute to the legislative
mind.’].)” (Id. at pp. 644-645.)
Mindful of the deference we must accord the Legislature under
the rational basis standard, we review the circumstances giving rise to
the AWCA. The crisis created by the proliferation and use of assault
weapons was the subject of a session of the California State Assembly meeting
as a Committee of the Whole on February 13, 1989. The purpose of
the extraordinary session, Speaker of the Assembly Willie L. Brown, Jr.,
explained, was “to educate the entire membership of the California State
Assembly” on the issue. (1 Assem. J. (1989-1990 Reg. Sess.) pp. 436-437.)
“Ordinarily,” Speaker Brown noted, “this would be done in a regular committee.
On some occasions, when the issue is of such extraordinary importance,
and of such immediacy, we [meet as] a Committee of the Whole.” (Id.
at p. 437.) Speaker Brown provided the context in which the regulation
of assault weapons was being considered. “The shooting incident in
Stockton, the drive-by shootings that have been going on in Southern California
at an alarming rate, the number of police officers who have been the victims
of semi-automatic weapons, and the ‘stats’ that now show the alarming group
of arrests that are taking place, and when items are confiscated, on many,
many occasions those items have turned out to be semi-automatic weapons.
A combination of all those things, plus the volume of editorials, the volume
of public comment out there about the question, requires us to address
the issues.” (Ibid.)
The “shooting incident in Stockton” to which Speaker Brown alluded
had occurred at the Cleveland Elementary School in Stockton, California,
the month before the meeting of the Committee of the Whole. While
300 pupils, mostly kindergartners through third graders, were enjoying
their lunchtime recess, Patrick Purdy, who had placed plugs in his ears
to dull the sounds of what he was about to do, drove up to the rear of
the school and stepped out of his car carrying a Chinese-made semiautomatic
AK-47. “Impassively, Purdy squeezed the trigger of his rifle, then
reloaded, raking the yard with at least 106 bullets. As children
screamed in pain and fear, Purdy placed a 9-mm pistol to his head and killed
himself. When the four-minute assault was over, five children, ages
6 to 9, were dead. One teacher and 29 pupils were wounded.”
(Chow, Slaughter in a School Yard, Time Magazine (Jan. 30, 1989) p. 29.)
The shooting at the Cleveland Elementary School in Stockton was
only the latest of a series of terrifying incidents in California involving
assault weapons. Five years earlier, in San Ysidro, James Huberty
drove to a McDonald’s restaurant “after announcing casually to his wife,
‘I’m going to hunt humans.’ ” (Griggs & Ysidro, Sudden Death;
Mass Murder at a McDonald’s, Time Magazine (July 30, 1984) p. 90.)
Stepping into the restaurant with a 9-mm Browning automatic pistol in his
belt and a 12-guage shotgun and a 9-mm UZI semiautomatic rifle slung over
his shoulders, Huberty called out, “ ‘Everybody on the floor.’ About
45 patrons were present. As they scrambled to comply, Huberty marched
around the restaurant calmly spraying gunfire. . . . Maria Diaz ran
out the side door in panic when the shooting started, then remembered that
her two-year-old son was still inside. She crept back to a window
and saw him sitting obediently in a booth. She motioned him toward
the door, nudged it open, and the boy toddled to safety.” (Ibid.)
Not everyone was so fortunate. After SWAT sharpshooters finally killed
Huberty, “police and hospital workers moved in on the gruesome scene.
A mother and father lay sprawled across their baby, apparently in an attempt
to shield it. All three were dead.” (Ibid.) The carnage
was clearly far worse than it would have been had Huberty not been armed
with semiautomatic weapons. He fired hundreds of rounds. “The
gunfire was so heavy that police at first assumed that more than one gunman
was inside. A fire truck took six shots before reversing direction
and backing off. One fire fighter was grazed by a bullet that tore
through the truck and then landed softly on his head.” (Ibid.)
In all, of the 45 patrons in the restaurant, Huberty killed 21 and wounded
15 others.
In the hearing before the Committee of the Whole, the lead-off
speaker was Attorney General John Van de Kamp. Attorney General Van
de Kamp testified that only the day before a woman and her unborn child
in Los Angeles had been killed by a gang member with an assault weapon.
He added: “There was another one down in Lynwood, a nineteen-year-old,
who was killed the same day.” (1 Assem. J. (1989-1990 Reg. Sess.)
p. 438.) Increasingly, “the weapons of choice for this madness,”
he noted, were “semi-automatic military assault rifles.” In Los Angeles,
he said, it had “become fashionable among hard-core members of the Crips
Gang to spray a stream of bullets in hopes of taking down one rival gang
member, but infants and grandmothers may be killed as well. They
say that the young killers even have a phrase for it. They say, ‘I
spray the babies to [the] eighties.’ ” (Ibid.)
Because assault weapons were unregulated, Attorney General Van
de Kamp observed, law enforcement officials did not know how many of them
there were in California. However, he added, “we do know that the
numbers are going up at a frightening rate. Hard hit police departments
have begun to keep records, like Oakland, where the number seized has tripled
in less than two years. Statewide, the number of semi-automatic weapons
seized . . . by law enforcement has more than doubled in the last two years.
. . . A partially completed Department of Justice survey with 132
law enforcement agencies reporting thus far has found the same pattern
for semi-automatics actually used in crimes. The number has doubled
in the last two years. The number used in shootings has gone up nearly
300%. Clearly, we are seeing an escalation in the arms race, and
law enforcement is losing.” (1 Assem. J. (1989-1990 Reg. Sess.) p.
439.)
Dr. Garen Wintemute of the University of California, Davis, Medical
School appeared before the Committee of the Whole to testify with regard
to the “special wounding characteristics” of the high velocity ammunition
commonly used in assault weapons. (1 Assem. J. (1989-1990 Reg. Sess.)
p. 447.) When a high velocity bullet enters the body, Dr. Wintemute
explained, “it starts to ‘tumble,’ as it moves through the tissue . . .
greatly increasing the amount of tissue which is damaged by direct contact
with the bullet. Moreover, as this high-velocity missile travels
through the tissue, it sends out pressure waves: We’ve all seen pictures
of airplanes breaking the sound barrier, and waves moving away from the
plane. The same thing happens as these bullets travel through tissue;
these pressure waves . . . create what is called ‘a temporary cavity’ behind
the path of the bullet, which may be 10 to 15 times—or even greater—the
diameter of the bullet itself. [] As a result of this phenomenon,
these high-velocity missiles can damage or destroy organs, break bones—including
the femur, possibly the strongest bone in the body—without ever touching
them.” (Ibid.)
Lieutenant Bruce Hagerty, a Los Angeles police officer familiar
with “gangs and the increasing use of assault weapons,” also testified
before the Committee of the Whole. (1 Assem. J. (1989-1990 Reg. Sess.)
p. 450.) “Probably the most graphic example, for me, was on Good
Friday of last year, where a rival gang entered a neighborhood in South
Central Los Angeles and sprayed a crowd of forty to fifty people with an
AR-15, and that’s an American assault rifle, shooting 14 people, killing
a 19 year old boy, hitting a five year old little girl, and a 65 year old
man, and all ages in between. I was the field commander of that situation,
and I’m here to tell you that that was, in every sense of the word, a war
scene. . . . There were bodies everywhere and people were terrified, and
the only reason that this gang did that was to terrorize the neighborhood
because they wanted to take it over and be able to sell drugs in that neighborhood,
and the military assault rifle is the vehicle that they used. []
. . . I’m here to tell you that there’s only one reason that they use these
weapons, and that is to kill people. They are weapons of war.”
(Ibid.)
The sponsors of the AWCA were Senator David A. Roberti and Assemblyman
Mike Roos. Originally, both Senate Bill No. 292 (1989-1990 Reg. Sess.)
(Senate Bill 292), introduced by Senator Roberti, and Assembly Bill No.
357 (1989-1990 Reg. Sess.) (Assembly Bill 357), introduced by Assemblyman
Roos, defined assault weapons generically. As amended in the Senate
on January 31, 1989, Senate Bill 292 defined “assault weapons” to include,
for example, “[a]ll semiautomatic action, centerfire rifles that accept
detachable magazines with a capacity of 20 rounds or more.” The parallel
provision of Assembly Bill 357, as amended in the Assembly on February
27, 1989, was identical. Although a majority in the Senate favored
the approach of defining assault weapons generically, that approach was
not acceptable to a majority of the Assembly. In the Assembly Public
Safety Committee, the fate of Assembly Bill 357 was expected to turn on
the vote of Assemblyman Charles W. Quackenbush, who was quoted as saying,
“ ‘As it stands right now, I am against [the legislation]. There
would have to be major changes for me to support it.’ ” According
to the Los Angeles Times, “Quackenbush and other opponents say the bills
would ban some legitimate hunting rifles as well as assault weapons and
say they could support a measure that contained a more exact definition
of assault weapons.” (Ingram, State Anti-Gun Measures Facing an Uncertain
Fate, L.A. Times (Feb. 24, 1989) p. I32, cols. 3-4.)
On February 28, 1989, Assembly Bill 357 was approved by the Assembly
Public Safety Committee “with no votes to spare.” (Ingram & Gillam,
Assault Gun Ban Gains in Legislature, L.A. Times (Mar. 1, 1989) p. I1,
col. 1.) The committee’s action “followed acceptance by Roos of amendments
proposed by Quackenbush that eliminated a broad definition of what constituted
an assault rifle. Substituted in its place was a list of about 40
rifles, shotguns and pistols that would be specifically banned by manufacturer
and model, including the AK-47 and Uzi.” (Id. at p. I21, cols. 3-4.)
Senate Bill 292, which retained the generic definition approach, was approved
by the Senate Judiciary Committee the same day. (Id. at p. I1, col.
4; see Sample & Richardson, State Ban on Assault Weapons Gains, Sacramento
Bee (Mar. 1, 1989) p. A1.)
On March 9, 1999, Senate Bill 292 was approved by the Senate.
Governor George Deukmejian expressed misgivings about the generic definition
approach in the Senate bill, indicating that he favored the list approach
taken by the Assembly. (Ingram, State Senate Votes to Ban Assault
Guns, L.A. Times (Mar. 10, 1989) p. I1, col. 3; see Matthews, Gun Ban Breezes
in Senate/NRA Predicts Ban Will Die in Assembly, Sacramento Bee (Mar. 10,
1989) p. A1.) On March 13, 1989, the Assembly passed Assembly Bill
357, with its list approach “on a 41-38 vote, the exact simple majority
required in the 80-member chamber.” (Ingram & Gillam, Assembly
Passes Assault Gun Ban, L.A. Times (Mar. 14, 1989) p. I1, col. 5.)
On April 4, 1989, Senate Bill 292 was amended by the Assembly Public Safety
Committee to substitute the list approach for the generic definition approach,
and as so amended, was approved by the committee. The same day the
Senate Judiciary Committee approved Assembly Bill 357. (Ingram, Tougher
of 2 Bills to Outlaw Assault Rifles Is Weakened by Panel, L.A. Times (Apr.
5, 1989) p. I3, col. 5; Sample, Panel Narrows, OKs Assault-Weapons Ban,
Sacramento Bee (Apr. 5, 1989) p. A3.)
On May 15, 1989, a Senate Assembly conference committee “ratified
a compromise with Gov. George Deukmejian,” one element of which was a provision
“aimed at ridding from the marketplace facsimile assault arms that are
so close to being the real thing that they constitute an assault weapon.
It would be up to the state attorney general to persuade a Superior Court
judge that such was the case before the facsimile could be added to the
list of banned guns.” (Ingram, Panel Votes Compromise on Assault
Weapons Ban, L.A. Times (May 16, 1989) p. I3, col. 5; see Sample, Conferees
Approve Gun-Ban Compromise, Sacramento Bee (May 16, 1989) p. A3.)
On May 18, 1989, both the Assembly and the Senate approved the bill and
sent it to the Governor. In the Assembly, it had again obtained just
41 votes, the bare majority required for approval. (Ingram, Assault
Gun Ban Wins Final Vote, L.A. Times (May 19, 1989) p. I1, col. 5.)
On May 24, 1989, Governor Deukmejian signed the legislation. “ ‘It’s
well known that some drug dealers and violent gang members are using assault-type
weapons,’ the governor said before signing the measures. []
‘In the face of such firepower, our state’s courageous law enforcement
officers need all the help that we can give them as they seek to preserve
our public safety,’ he said.” (Sample, Duke Signs into Law Ban on
Most Assault Arms, Sacramento Bee (May 25, 1989) p. A1.)
In seeking to address the grave threat to public safety posed
by the possession and use of assault weapons by criminals, the Legislature
was clearly walking a tightrope. Anti-gun-control groups like the
National Rifle Association were adamantly opposed to an assault weapons
ban, regardless of the approach taken—generic definition or list.
(See, e.g., Matthews, Biggest Gun-Ban Shootout Remains: Combining
Two Bills, Sacramento Bee (Mar. 27, 1989) p. A1.) On the other hand,
a spokesman for the California Police Chiefs Association said neither bill
went far enough. (Ibid.) Of the two approaches, many proponents
of an assault weapons ban preferred a generic definition. Attorney
General Van de Kamp, for example, warned that manufacturers could get around
a list merely by renaming a firearm or making simple cosmetic changes in
the weapon’s design. (Ingram & Gillam, Assault Gun Ban Gains
in Legislature, L.A. Times, supra,
p. I21, cols. 4-5.) However, key figures like Governor Deukmejian
and Assemblyman Quackenbush were concerned the proposed generic definition
would sweep too broadly—that it would ban semiautomatic weapons used for
legitimate sports and recreational purposes. The bottom line, apparently,
was that an assault weapons ban would have died in the Assembly that session,
had the proponents insisted on defining assault weapons generically.
The perfect can be the enemy of the good. The Legislature
was convinced that “the proliferation and use of assault weapons poses
a threat to the health, safety and security of all citizens of this state.”
(§ 12275.5.) Given that conviction, the Legislature was not
constitutionally compelled to throw up its hands just because a perfectly
comprehensive regulatory scheme was not politically achievable. “
‘ “The problems of government are practical ones and may justify, if they
do not require, rough accommodations—illogical, it may be, and unscientific.”
’ ” (Dallas v. Stanglin (1989) 490 U.S. 19, 27, quoting Metropolis Theatre
Co. v. City of Chicago (1913) 228 U.S. 61, 69-70.)
The rough accommodations the Legislature made here are explained
in its findings and declarations. “The Legislature has restricted
the assault weapons specified in Section 12276 based upon finding that
each firearm has such a high rate of fire and capacity for firepower that
its function as a legitimate sports or recreational firearm is substantially
outweighed by the danger that it can be used to kill and injure human beings.
It is the intent of the Legislature in enacting this chapter to place restrictions
on the use of assault weapons and to establish a registration and permit
procedure for their lawful sale and possession. It is not, however,
the intent of the Legislature by this chapter to place restrictions on
the use of those weapons which are primarily designed and intended for
hunting, target practice, or other legitimate sports or recreational activities.”
(§ 12275.5.)
The Legislature was, in short, confronted with two conflicting
societal interests, both of which it recognized as legitimate—the interest
of all citizens in being protected against the use of semiautomatic weapons
by criminals, and the interest of some citizens in using semiautomatic
weapons for hunting, target practice, or other legitimate sports or recreational
activities. Seeking to accommodate these conflicting interests, the
Legislature decided to list the models of semiautomatic weapons that were
to be considered assault weapons. It chose the list approach, the
Legislature declared, “because it was the most effective way to identify
and restrict a specific class of semiautomatic weapons.” (§
12276, subd. (f).) The Legislature was not unmindful of the fact
that the section 12276 list was not, and could not be, complete.
In its uncodified findings and declarations, the Legislature explained
that the add-on provision was intended to compensate for the inherent limitations
of the list approach. “It is the intent, therefor[e], to ban the
weapons enumerated in Section 12276 of the Penal Code and any other models
which are only variations of these weapons, which are the same weapon but
manufactured or sold by another company under a licensing agreement, or
which are new models manufactured or sold by any company with just minor
modifications or new model numbers in order to circumvent the prohibitions
of Chapter 2.3 (commencing with Section 12275) of Title 2 of Part 4 of
the Penal Code.” (Stats. 1989, ch. 18, § 6, p. 59.)
The step-by-step approach adopted here—the list plus the add-on
provision—does not violate principles of equal protection. As previously
stated, both the United States Supreme Court and this court have recognized
the propriety of a legislature’s taking reform “ ‘one step at a time, addressing
itself to the phase of the problem which seems most acute to the legislative
mind.’ ” (Warden v. State Bar, supra, 21 Cal.4th at p. 645, quoting
Williamson v. Lee Optical Co. (1955) 348 U.S. 483, 489.) “[A] legislature
need not run the risk of losing an entire remedial scheme because it failed,
through inadvertence or otherwise, to cover every evil that might conceivably
have been attacked.” (McDonald v. Board of Election (1969) 394 U.S.
802, 809.)
In Minnesota v. Clover Leaf Creamery Co., supra, 449 U.S. 456,
the State of Minnesota banned retail sale of milk in plastic nonreturnable,
nonrefillable containers, but permitted such sale in other nonreturnable,
nonrefillable containers, such as paperboard milk cartons. Defending
the statute against an equal protection challenge, the state acknowledged
evidence that the plastic milk jug was the most popular, and the paperboard
carton the most cumbersome and least well-regarded package in the industry,
but argued that the ban on plastic nonreturnables would buy time during
which environmentally preferable alternatives might be further developed
and promoted. Rejecting this rationale, the Minnesota District Court
found that the statute was actually intended to promote the economic interests
of certain segments of the dairy and pulpwood industries at the expense
of the economic interests of other segments of the dairy and plastics industries.
The Minnesota Supreme Court affirmed, striking down the statute on equal
protection grounds and expressing doubt that the state would have taken
any further steps to promote environmentally sound milk packaging.
The high court reversed. “We find the State’s approach fully supportable
under our precedents. This Court has made clear that a legislature
need not ‘strike at all evils at the same time or in the same way,’ Semler
v. Oregon State Board of Dental Examiners, 294 U.S. 608, 610 (1935), and
that a legislature ‘may implement [its] program step by step, . . . adopting
regulations that only partially ameliorate a perceived evil and deferring
complete elimination of the evil to future regulations.’ New Orleans
v. Dukes, 427 U.S., at 303. [Citations.] The Equal Protection
Clause does not deny the State of Minnesota the authority to ban one type
of milk container conceded to cause environmental problems, merely because
another type, already established in the market, is permitted to continue
in use.” (449 U.S. at p. 466.)
The principles of equal protection analysis reiterated in Minnesota
v. Clover Leaf Creamery Co., supra, 449 U.S. 456, have been applied in
a variety of contexts. For example, in United States v. Kiffer (2d
Cir. 1973) 477 F.2d 349, the court of appeals rejected the argument that
the Comprehensive Drug Abuse Prevention and Control Act of 1970 was irrationally
underinclusive. Even if it were true, as appellants contended, that
marijuana was less harmful than legally available substances such as tobacco
and alcohol, “this does not render the statute here unconstitutional,”
the court of appeals held. (Id. at p. 355.) “If Congress decides
to regulate or prohibit some harmful substances, it is not thereby constitutionally
compelled to regulate or prohibit all. It may conclude that half
a loaf is better than none. [Citations.]” (Ibid.; accord, National
Organization for Reform of Marijuana Laws v. Gain (1979) 100 Cal.App.3d
586, 593-594.) In Sherwin-Williams v. City & Co. of San Francisco
(N.D. Cal. 1994) 857 F.Supp. 1355, manufacturers and retailers of markers
and spray paint challenged the constitutionality of the city’s “lock up”
antigraffiti ordinance, which prohibited retailers from displaying markers
and spray paint for sale unless they were maintained in places accessible
only with employee assistance. The court rejected plaintiffs’ contention
that the ordinance was irrationally underinclusive because it did not restrict
access to other products that might be used to create graffiti. “In
drafting anti-graffiti legislation, there was nothing irrational about
the Board of Supervisors’ decision to focus its energies on the most commonly
used graffiti implements, rather than striking out at once at all of the
available substitutes.” (Id. at p. 1372.)
Of the cases involving equal protection challenges to assault
weapons bans, the Attorney General relies on Benjamin, supra, 662 A.2d
1226, while plaintiffs rely on Springfield Armory, Inc. v. City of Columbus
(6th Cir. 1994) 29 F.3d 250 (Springfield Armory). In Benjamin, the
plaintiffs challenged a list-type assault weapons ban on the ground, among
others, that it was irrationally underinclusive because it failed to include
weapons that were virtually identical to listed weapons. Not surprisingly,
given the nationwide character of the debate over gun control, the Connecticut
Legislature faced the same sorts of political constraints as did the California
Legislature, and like the California Legislature finally settled for a
compromise it knew to be imperfect. One Connecticut senator said,
“ ‘If we restrict the list, we’re damned because of the guns we left out.
If we expand the list, we’re damned for the guns we keep in.’ ” (Benjamin,
supra, 662 A.2d at p. 1239, fn. 12.) Another admitted: “ ‘This
is not the perfect bill. It’s not the solution, but it’s a step in
the right direction.’ ” (Ibid.) Appreciating the dilemma faced
by its legislature, the Supreme Court of Connecticut rejected the equal
protection challenge. “The legislature . . . is not restricted in
its options either to banning all weapons it considers harmful to the welfare
of the citizenry or to banning none at all.” (Ibid., fn. omitted.)
In Springfield Armory, supra, 29 F.3d 250, the Sixth Circuit
Court of Appeals struck down a list-type assault weapons ordinance as unconstitutionally
vague, no equal protection claim having been raised. “[T]he ordinance
is fundamentally irrational . . . . The Columbus ordinance outlaws
assault weapons only by outlawing certain brand names without including
within the prohibition similar assault weapons of the same type, function
or capability. The ordinance does not achieve the stated goal of
the local legislature—to get assault weapons off the street. The
ordinance purports to ban ‘assault weapons’ but in fact bans only an arbitrary
and ill-defined subset of these weapons without providing any explanation
for its selections. Many assault weapons remain on the market . .
. .” (Id. at p. 252.)
We are not persuaded by Springfield Armory. Doubtless,
10 years after the AWCA became law in California many semiautomatic weapons
potentially classifiable as assault weapons remain on the market here.
That may or may not be regrettable, depending upon one’s views on this
highly charged public policy question, but it does not amount to a constitutionally
fatal flaw in the AWCA. As the high court pointed out in the context
of the packaging legislation it reviewed in Minnesota v. Clover Leaf Creamery
Co., supra, 449 U.S. at page 466: “Whether in fact the Act will promote
more environmentally desirable milk packaging is not the question:
the Equal Protection Clause is satisfied by our conclusion that the Minnesota
Legislature could rationally have decided that its ban on plastic nonreturnable
milk jugs might foster greater use of environmentally desirable alternatives.”
The Legislature here was under no illusion that the AWCA would rid the
streets of assault weapons in one fell swoop. Instead, the Legislature
intended that the approach it finally settled upon in the AWCA—designating
certain assault weapons by type, series, and model, while providing a mechanism
for adding others “which are only variations of these weapons, which are
the same weapon but manufactured or sold by another company under a licensing
agreement, or which are new models manufactured or sold by any company
with just minor modifications or new model numbers in order to circumvent
the [AWCA’s] prohibitions” (Stats. 1989, ch. 18, § 6, p. 59)—would
make California a safer place, even if only marginally and incrementally.
We are not prepared to say that the Legislature’s expectation was irrational
or that, to pass constitutional muster, its ambitions had to be grander.
B. Separation of Powers
Plaintiffs contend, and the Court of Appeal agreed, that
the add-on provision of section 12276.5 violates the separation of powers
doctrine. After reviewing the fundamental policies that inform the
separation of powers jurisprudence of this court and the United States
Supreme Court, we reject this challenge.
“An unconstitutional delegation of authority occurs only when
a legislative body (1) leaves the resolution of fundamental policy issues
to others or (2) fails to provide adequate direction for the implementation
of that policy. (Kugler v. Yocum (1968) 69 Cal.2d 371, 376-377.)”
(Carson Mobilehome Park Owners’ Assn. v. City of Carson (1983) 35 Cal.3d
184, 190.)
The delegation here, the Court of Appeal concluded, suffers from
a defect of the second sort—the failure to provide adequate direction for
the implementation of legislative policy. “[B]y what reasoning,”
the Court of Appeal asked, “does a judge determine whether a gun is merely
‘redesigned’ from another or has modifications or enhancements which are
but ‘slight?’ What is ‘slight’ enough or ‘redesigned’ enough?”
Actually, the role that the courts play in implementing the add-on
procedure is a very narrow, essentially adjudicatory one. The Attorney
General initiates the add-on procedure by filing a petition in certain
superior courts seeking a declaration of “temporary suspension of the manufacture,
sale, distribution, transportation, importation into the state, or the
giving or lending of a firearm alleged to be an assault weapon within the
meaning of Section 12276.” The grounds for such a declaration are
that the firearm is either of the following: “(1) Another model by
the same manufacturer or a copy by another manufacturer of an assault weapon
listed in [subdivision] (a), (b), or (c) of Section 12276 which is identical
to one of the assault weapons listed in those subdivisions except for slight
modifications or enhancements including, but not limited to: a folding
or retractable stock; adjustable sight; case deflector for left-handed
shooters; shorter barrel; wooden, plastic or metal stock; larger magazine
size; different caliber provided that the caliber exceeds .22 rimfire;
or bayonet mount. The court shall strictly construe this paragraph
so that a firearm which is merely similar in appearance but not a prototype
or copy cannot be found to be within the meaning of this paragraph.
[] (2) A firearm first manufactured or sold to the general public
in California after June 1, 1989, which has been redesigned, renamed, or
renumbered from one of the firearms listed in subdivision (a), (b), or
(c) of Section 12276, or which is manufactured or sold by another company
under a licensing agreement to manufacture or sell one of the firearms
listed in subdivision (a), (b), or (c) of Section 12276, regardless of
the company of production or distribution, or the country of origin.”
(§ 12276.5, subd. (a).)
At the hearing on a permanent declaration, the burden of proof
is on the Attorney General to show by a preponderance of the evidence that
the firearm is an assault weapon. If the court finds that the firearm
comes within the criteria set forth in subdivision (a) of section 12276.5,
the court “shall issue a declaration that it is an assault weapon under
Section 12276. Any party to the matter may appeal the court’s decision.”
(§ 12276.5, subd. (f).)
It is instructive to contrast the essentially adjudicatory determination
that section 12276.5 calls upon the superior court to make with the much
more policy-laden, quasi-legislative determinations that were nevertheless
upheld in the face of separation of powers challenges by the U.S. Supreme
Court in Mistretta v. United States (1989) 488 U.S. 361 (Mistretta), and
by this court in People v. Wright (1982) 30 Cal.3d 705 (upholding the delegation
of authority to the Judicial Council to promulgate sentencing guidelines).
In Mistretta, the high court reviewed the constitutionality of
the Sentencing Reform Act, under which Congress delegated authority to
the Sentencing Commission to promulgate sentencing guidelines for federal
criminal offenses, placed the commission within the judicial branch, and
required federal judges to serve on it along with nonjudges. In upholding
the Sentencing Commission against a separation of powers challenge, the
court acknowledged that the Sentencing Commission was “unquestionably .
. . a peculiar institution within the framework of our Government,” but
went on to say that “[o]ur constitutional principles of separated powers
are not violated, however, by mere anomaly or innovation.” (Mistretta,
supra, 488 U.S. at pp. 384-385.)
It is concern about “ ‘encroachment and aggrandizement,’ ” the
court reiterated in Mistretta, that has animated its separation of powers
jurisprudence. (Mistretta, supra, 488 U.S. at p. 382.) “Accordingly,
we have not hesitated to strike down provisions of law that either accrete
to a single Branch powers more appropriately diffused among separate Branches
or that undermine the authority and independence of one or another coordinate
Branch. . . . By the same token, we have upheld statutory provisions
that to some degree commingle the functions of the Branches, but that pose
no danger of either aggrandizement or encroachment.” (Id. at p. 382.)
Applying these principles, the court upheld the Sentencing Reform Act after
measuring it against the following standard: “Congress may delegate
to the Judicial Branch nonadjudicatory functions that do not trench upon
the prerogatives of another Branch and that are appropriate to the central
mission of the Judiciary.” (Id. at p. 388.)
The delegation here satisfies this standard. None of the
three branches is aggrandized by the delegation or encroached upon by it.
And the authority delegated to the superior court—to serve as a check on
the power delegated to the executive branch by reviewing the question whether
a firearm the Attorney General wishes to add to the list of assault weapons
satisfies the criteria set forth in section 12276.5—is appropriate to the
central mission of the judiciary. Admittedly, having the court conduct
the review as the final act in the exercise of a legislatively delegated
power is, in the language of Mistretta, “peculiar,” but as that case reminded
us, “[o]ur constitutional principles of separated powers are not violated
. . . by mere anomaly or innovation.” (Mistretta, supra, 488 U.S.
at pp. 384-385.)
What Mistretta’s argument really came down to, the Supreme Court
said, was not that the substantive responsibilities of the Sentencing Commission
aggrandized the judicial branch, “but that that Branch is inevitably weakened
by its participation in policymaking.” (Mistretta, supra, 488 U.S.
at p. 395.) This concern, the high court held, was not well founded
with regard to the Sentencing Commission. “We do not believe . .
. that the placement within the Judicial Branch of an independent agency
charged with the promulgation of sentencing guidelines can possibly be
construed as preventing the Judicial Branch ‘from accomplishing its constitutionally
assigned functions.’ Nixon v. Administrator of General Services,
433 U.S., at 443. Despite the substantive nature of its work, the
Commission is not incongruous or inappropriate to the Branch. As
already noted, sentencing is a field in which the Judicial Branch long
has exercised substantive or political judgment. What we said in
Morrison when upholding the power of the Special Division to appoint independent
counsel applies with even greater force here: ‘This is not a case
in which judges are given power . . . in an area in which they have no
special knowledge or expertise.’ 487 U.S., at 676, n. 13. On
the contrary, Congress placed the Commission in the Judicial Branch precisely
because of the Judiciary’s special knowledge and expertise.” (Id.
at pp. 395-396.)
The same may be said here, that is, this is not a case in which
judges are given power in an area in which they have no special knowledge
or expertise, but rather a case in which the Legislature turned to the
courts precisely because of their special knowledge and expertise in reviewing
questions of the sort at issue in a section 12276.5, subdivision (f), hearing—whether
a firearm alleged by the Attorney General to be an assault weapon comes
within the criteria set forth in section 12276.5, subdivision (a).
Moreover, the amici curiae supporting the Attorney General contend that
the fact the Legislature divided the authority it delegated between the
executive and judicial branches, instead of confiding the whole of it to
the Attorney General, should not be considered a fatal flaw in the AWCA,
but rather a virtue. The amici curiae have a point. For the
Legislature to set up the courts as a check upon the exercise of power
it is delegating to the Attorney General is, in itself, perfectly in keeping
with the separation of powers doctrine, the primary purpose of which is
to prevent the combination in the hands of a single person or group of
the basic or fundamental powers of government. (See In re Attorney
Discipline System (1998) 19 Cal.4th 582, 596; Davis v. Municipal Court
(1988) 46 Cal.3d 64, 76; Parker v. Riley (1941) 18 Cal.2d 83, 89.)
However, it may be objected, the separation of powers doctrine
not only guards against the concentration of power in a single branch of
government; it also protects one branch against the overreaching of the
others. (See In re Attorney Discipline System, supra, 19 Cal.4th
at p. 596; Hustedt v. Workers’ Comp. Appeals Bd. (1981) 30 Cal.3d 329,
338; Bixby v. Pierno (1971) 4 Cal.3d 130, 141.) The Court of Appeal
found overreaching in this delegation. “The Legislature cannot bestow
legislative power on judges. For example, in Epperson v. Jordan (1938)
12 Cal.2d 61, the California Supreme Court invalidated statutes which tried
to draft members of this court to write titles for initiative measures
because ‘they purport to confer nonjudicial duties on the appellate justices
. . . .’ ”
Was the Legislature here guilty of the overreaching we condemned
in Epperson? The rationale of our decision, we said in Epperson,
supra, 12 Cal.2d at page 64, “need not be discussed at length. The
principles involved have recently and exhaustively been considered by this
court in Abbott v. McNutt [(1933)] 218 Cal. 225.)” In Abbott v. McNutt,
supra, 218 Cal. 225, this court reviewed the constitutionality of a county
charter provision that judges of that county, or their nominees, were to
serve as members of a “ ‘qualification board’ ” to recruit and submit to
the board of supervisors candidates for the position of county executive.
Although we mentioned the nondelegation doctrine, our decision did not
turn on it. (Id. at p. 228.) Instead, we held that service
on the qualifications board would have violated the prohibition of article
VI, section 18 of the California Constitution against judges holding “any
other office or public employment” during their judicial term. The
“purpose and policy” underlying this constitutional prohibition, we observed,
was cogently stated by Justice Cardozo in In re Richardson (1928) 247 N.Y.
401 [160 N.E. 655]. “ ‘The policy is to conserve the time of the
judges for the performance of their work, and to save them from the entanglements,
at times the partisan suspicions, so often the result of other and conflicting
duties.’ In other words, it is intended to exclude judicial officers
from such extrajudicial activities as may tend to militate against the
free, disinterested and impartial exercise of their judicial functions.”
(Abbott v. McNutt, supra, 218 Cal. at p. 229, quoting In re Richardson,
supra, 160 N.E. at p. 661.) Service on the qualification board, we
noted, might involve the county’s judges “in those ‘entanglements’ and
subject them to those ‘partisan suspicions’ of which the constitutional
inhibition, in its wisdom, seeks to free them.” For example, they
might one day have been required to try charges of misfeasance against
a county executive they had recommended as qualified. (Abbott v.
McNutt, supra, 218 Cal. at p. 230.)
Was the policy that informed our decisions in Epperson and Abbott—the
policy, in the words of Justice Cardozo, “to conserve the time of the judges
for the performance of their work as judges, and to save them from the
entanglements, at times the partisan suspicions, so often the result of
other and conflicting duties”—violated by the delegation here? (In
re Richardson, supra, 160 N.E. at p. 661.) Insofar as the first prong
of Justice Cardozo’s stricture is concerned—conserving the time of judges
for the performance of their work—any violation was de minimis, certainly
as measured against the facts of In re Richardson. In that case,
the Governor of New York, pursuant to statutory authorization, directed
a New York judge to take evidence and report to him as to whether the president
of the Borough of Queens should be removed. In holding that the judge
was disqualified, while retaining judicial office, from acting as the governor’s
delegate in such a matter, Justice Cardozo observed that the inquiry had
“already separated the respondent for more than two months from the discharge
of his judicial duties, and . . . is likely to continue [to do so] for
many weeks to come. . . . Interference so prolonged with assignments
to judicial duty is the very evil that was meant to be hit by the prohibitions
of the [New York] Constitution directed against dual office.” (Ibid.)
The duties imposed upon the judicial officers in Epperson and
Abbott were not nearly as time-consuming as those in In re Richardson,
but they still posed an unacceptably high risk of “ ‘ “entanglements” ’
” and “ ‘ “partisan suspicions.” ’ ” (Abbott v. McNutt, supra, 218
Cal. at p. 230.) Does the delegation here carry a significant risk
of that sort? It might well, if the judge were called upon to initiate
the process of adding firearms to the list of assault weapons, but that
role is played by the Attorney General under section 12276.5, and the court
plays its familiar role of reviewing a legal question—whether the criteria
set forth in the statute were satisfied.
A related concern is whether the role the Legislature assigned
to the courts in section 12276.5 will undermine the public’s confidence
in the impartiality of the judiciary. A concern in this regard led
the Eleventh Circuit to hold that the appointment of two article III judges
to the Organized Crime Commission, which was to advise the President and
the United States Attorney General of actions that could be taken to improve
law enforcement efforts directed against organized crime, violated the
separation of powers doctrine. “Impartiality is one of the central,
constitutionally-ordained, requirements of the federal judicial office,
. . . and this impartiality is threatened by many of the activities of
the Commission. A judge who is charged with assisting and improving
enforcement efforts against organized crime must adopt a pro-government
perspective which is ill-suited to his obligation to be neutral in the
courtroom. The kind of information he might uncover through the investigatory
activities of the Commission would further endanger his impartiality.
If the data and testimony surveyed by the Commission were to demonstrate,
for example, that the magnitude of the threat posed by organized crime
was greater than had previously been suspected, that a substantial amount
of organized crime activity was never prosecuted, or that law enforcement
officials in many parts of the country employed methods which were poorly
chosen, subject to abuse or inadequate to combat the problem, such discoveries
could affect the way the judge approached those organized crime suspects
and law enforcement officials who appeared before him. Moreover,
even if a judge could satisfy himself that he could separate his participation
on the Commission from his judicial functions, it is not clear that litigants
could sustain equal faith in his impartiality.” (Application of President’s
Com’n on Crime (11th Cir. 1985) 763 F.2d 1191, 1197.)
The duty imposed upon the courts here, reviewing the question
whether a firearm the Attorney General wishes to add to the list of assault
weapons satisfies the criteria set forth in section 12276.5, clearly does
not raise the same sorts of concerns with regard to impartiality that service
on the Organized Crime Commission did. Moreover, the Third Circuit
did not share the concern of the Eleventh Circuit that such service would
undermine the impartiality of the judiciary in fact or appearance.
(See Matter of President’s Com’n on Organized Crime (3d Cir. 1986) 783
F.2d 370 (Scarfo).) A separation of powers challenge involving the
conferral of power upon the judicial branch, the Third Circuit said, should
be reviewed in terms of the functional analysis set out in Nixon v. Administrator
of General Services (1977) 433 U.S. 425, 443; that is, the focus should
be upon the extent to which the challenged action prevents the judiciary
from accomplishing its constitutionally assigned functions. (Scarfo,
supra, 783 F.2d at p. 375.) The service of two judges on the Organized
Crime Commission “does not disable any other Article III judge or any court
from performing properly assigned duties. In the event of recusals
there will be a substitution of Article III judges and the work of the
courts will not be impaired. [] . . . What is present here
is a limited dislocation and not one which would require reassignment of
a large number of cases.” (Id. at p. 381.) The same holds true
here. Under section 12276.5, subdivision (a), the Attorney General
may file a temporary suspension petition only in superior courts of counties
with a population of more than 1,000,000, and the likelihood that a judge
would be called upon to try a prosecution under the AWCA involving a firearm
of a sort that she or he had earlier declared an assault weapon under section
12276.5 is remote, so any recusals occasioned by section 12276.5 should
not be disruptive.
Finally, some commentators perceive in legislative bodies a tendency
to duck controversial issues, and upholding a delegation of this sort will
only encourage that tendency, they would argue. His dissents in Morrison
v. Olson (1988) 487 U.S. 654, 697 and Mistretta, supra, 488 U.S. 361, 413,
suggest Justice Scalia might be in this camp. In criticizing the
legislative veto, then-Professor Scalia deplored the inclination he found
in Congress to delegate political judgments it considered “too hot to handle.”
Title IX of the Education Amendments of 1972 was a good example of this
tendency, he suggested. “It was apparent when that law was passed
that its concrete application would arouse heated controversy over precisely
such issues as all-male sports, unisex dorms, and even unisex toilets.
Was it not more appealing for Congress to take the high road, winning approval
from all sides by being against ‘sex discrimination’—and leaving to the
agencies the inevitable alienation of one or another constituency which
accompanies the act of giving that term content?” (Scalia, The Legislative
Veto: A False Remedy for System Overload (Nov.-Dec. 1979) Regulation, pp.
19, 24.) We must not assume, however, that such unworthy motives
prompt a delegation. As Judge Carl McGowan of the District of Columbia
Circuit noted, while Congress may “fix[] upon broad delegation for reasons
of internal political maneuver or as an escape from having to stand up
and be counted,” most delegations are legitimate responses to the fact
that Congress, “in an increasingly complex and changing world, is called
upon to deal with subject matter that is novel and imprecise, and for which
it is frequently ill-equipped to do more than to paint with a broad brush,
leaving the details to be filled in by less unwieldy and more expert administrative
authority.” (McGowan, Congress, Court and Control of Delegated Power
(1977) 77 Colum. L.Rev. 1119, 1128-1129.) The delegation in the present
case is manifestly of the latter sort. For good or ill, the Legislature
stood up and was counted on this issue, one of the most contentious in
modern society. The task it delegated—amending the list of assault
weapons to capture the protean modifications of the weapons—was one it
could not reasonably be expected to perform itself.
C. Due Process
A law failing to give a person of ordinary intelligence
a reasonable opportunity to know what is prohibited violates due process
under both the federal and California Constitutions. (Grayned v.
City of Rockford (1972) 408 U.S. 104, 108; People v. Heitzman (1994) 9
Cal.4th 189, 199.) Section 12276.5 violates this standard, the Court
of Appeal held, “because it defines the weapons which can be added on as
those with ‘slight’ modifications and those which have been ‘redesigned,
renamed, or renumbered’ from guns on the list. (§ 12276.5, subd.
(a)(1), (2).) Reasonable persons can understand renaming and renumbering.
But what is a ‘slight’ modification or a ‘redesign?’ ”
The questions raised by the Court of Appeal are not questions
ordinary citizens must answer at their peril. Rather, they are questions
the Attorney General must address in deciding whether to petition the superior
court for a declaration of temporary suspension (§ 12276.5, subd.
(a)), and that the superior court must resolve in determining whether to
issue a permanent declaration that a firearm is an assault weapon (§
12276.5, subd. (f)). If the superior court issues a permanent declaration
that a specified firearm is an assault weapon, then the Attorney General
must, within 90 days, promulgate an amended list of the firearms designated
as assault weapons in section 12276, or added to the list pursuant to section
12276.5, and the amended list must be filed by the Attorney General with
the Secretary of State for publication in the California Code of Regulations.
(§ 12276.5, subd. (h).) Therefore, concerned citizens need not
struggle with the question whether, for example, a particular firearm is
identical to one of the listed assault weapons except for slight modifications.
The citizens may simply consult the amended list. (The availability
of the amended list distinguishes the cases upon which the Court of Appeal
relied in holding the AWCA unconstitutionally vague—Springfield Armory,
supra, 29 F.3d 250, and Robertson v. City and County of Denver (Colo. 1994)
874 P.2d 325.) Because the standard set forth in section 12276.5,
subdivision (a), is to be applied by the Attorney General and the superior
court, we need not and do not reach the question whether it would be unconstitutionally
vague if ordinary citizens were required to apply it.
The Court of Appeal held the AWCA violates due process in a second
respect: “[T]he Act deprives citizens of notice of the law because
there is a temporal gap between the declaration of suspension and publication
of notice thereof. During that period of time the Act treats the
gun as an ‘assault weapon,’ meaning a person could be a felon for lending
it to a fellow hunter. . . . But at that moment in time, the new
‘list’ has yet to be published to the world. There is literally no
‘notice’ of the law.”
As to this challenge, the Attorney General defends the AWCA on
a number of grounds, not all of them consistent with one another.
First, the Attorney General argues that the giving or lending of a firearm
during the “temporal gap” would never be the subject of a temporary suspension
order. As the Attorney General notes, section 12276.5, subdivision
(a), contains disjunctive clauses: “Upon request by the Attorney
General . . . , the superior court shall issue a declaration of temporary
suspension of the manufacture, sale, distribution, transportation or importation
into the state, or the giving or lending of a firearm alleged to be an
assault weapon within the meaning of Section 12276 because the firearm”
satisfies the criteria set out in paragraphs (1) and (2) of subdivision
(a). (Italics added.) Seizing upon the disjunction, the Attorney
General argues: “Only the Attorney General determines whether one
or both of these groups will be subject to the temporary suspension.
The reason for a temporary suspension is to prevent distribution of weapons
declared to be assault weapons during the pendency of the [permanent suspension]
hearing. . . . It seems illogical to assume that the Attorney General
will choose to apply a temporary suspension to individuals who already
possess the weapon.” (Italics omitted.) Illogical, perhaps,
but not inconceivable. The Legislature apparently felt it important,
and not illogical, to give the Attorney General the authority to temporarily
suspend the giving or lending of a firearm alleged to be an assault weapon,
so we cannot with confidence assume the Attorney General would never use
that authority.
The Attorney General next argues that even if the giving or lending
of a firearm alleged to be an assault weapon were temporarily suspended,
the hunter in the Court of Appeal’s hypothetical would receive constructive
notice of the temporary suspension order pursuant to section 12276.5, subdivision
(c).
Subdivision (c) of section 12276.5 provides: “Upon declaration
of temporary suspension, the Attorney General shall immediately notify
all police, sheriffs, district attorneys, and those requesting notice pursuant
to subdivision (d), shall notify industry and association publications
for those who manufacture, sell, or use firearms, and shall publish notice
in not less than 10 newspapers of general circulation in geographically
diverse sections of the state of the fact that the declaration has been
issued.” (Italics added.) Subdivision (d) of section 12276.5
provides in pertinent part: “The Attorney General shall maintain
a list of any persons who request to receive notice of any declaration
of temporary suspension and shall furnish notice under subdivision (c)
to all these persons immediately upon a superior court declaration.”
Subdivision (b) of section 12276.5 provides that upon the issuance of a
declaration of temporary suspension “and after the Attorney General has
completed the notice requirements of subdivisions (c) and (d),” the penalty
provisions of subdivision (a) of section 12280 shall apply with respect
to the weapons subject to the temporary suspension declaration. And
finally, subdivision (a)(1) of section 12280 makes it a felony for a person
to manufacture, distribute, transport, import, sell, possess, or lend an
assault weapon in this state, except as provided in the AWCA.
Plaintiffs object that an ordinary gun owner is not likely to
request notice of temporary suspensions pursuant to subdivision (d) of
section 12276.5, and that constructive notice in newspapers is not constitutionally
adequate. Amici curiae in support of the Attorney General respond,
“gun owners can hardly be heard to complain about the unfairness of a statute
which gives them the extraordinary right to receive from the Attorney General,
upon request, specific notice of a temporary suspension.” After all,
amici curiae note, “California law attributes to all citizens constructive
knowledge of the content of state statutes. . . .” In Hale v. Morgan
(1978) 22 Cal.3d 388, 396, the case upon which amici curiae rely, we acknowledged
that the policy of charging citizens with knowledge of the law is based
on a fiction because no one, of course, can know all the law. What
amici curiae are impliedly asking us to do is stretch the fiction to cover
cases where the law is to be found, not in the statute books, nor even
at this point in the process in the California Code of Regulations, but
rather in “10 newspapers of general circulation in geographically diverse
sections of the state.” (§ 12276.5, subd. (c).)
Tellingly, not even the Attorney General appears to be prepared
to go that far, for he all but concedes that a person who did not have
actual notice of a temporary suspension could not constitutionally be convicted
of violating section 12280. “It is highly speculative and unlikely
that anyone would be prosecuted under the law if they did not have prior
notice of the temporary declaration. Furthermore, to the extent that
a person could establish a lack of actual or constructive notice of a temporary
declaration order and that there was not sufficient information to alert
that person of the likelihood that their firearm was subject to regulation,
that person would be able to raise an affirmative defense to a possible
prosecution for a violation of the temporary declaration. The provisions
of section 12276.5 (b), which require [completion] of the notice requirements
before criminal sanctions apply, indicate that the reasonable interpretation
of those provisions require[s] a knowing violation of the temporary declaration,
as a[n] element of that crime.” We cannot agree with the Attorney
General. The AWCA seems clearly to contemplate a section 12280 prosecution
where the only notice of a temporary declaration would be predicated upon
publication of the notice “in not less than 10 newspapers of general circulation
in geographically diverse sections of the state.” (§ 12276.5,
subd. (c).) Such a prosecution would raise grave due process concerns.
However, plaintiffs have failed to shoulder their burden of showing the
temporary declaration provision of the AWCA to be facially unconstitutional.
The standard governing a facial challenge to the constitutional
validity of a statute has been the subject of controversy within this court.
(See American Academy of Pediatrics v. Lungren (1997) 16 Cal.4th 307, 342-343
(plur. opn. of George, C.J. (American Academy)); id. at p. 412 (dis. opn.
of Baxter, J.); id. at p. 421 (dis. opn. of Brown, J.); see also California
Teachers Assn. v. State of California (1999) 20 Cal.4th 327, 347 (California
Teachers).) We need not revisit that controversy here because plaintiffs
have not even made the showing required under the formulations of the standard
most favorable to their position, that is, they have failed to demonstrate
that the temporary suspension provision of the AWCA would present due process
notice issues in the “vast majority of its applications” (American Academy,
supra, 16 Cal.4th at p. 343), or that it would present such problems “
‘in the generality of cases’ ” (California Teachers, supra, 20 Cal.4th
at p. 347). Accordingly, their facial challenge to the constitutionality
of the statute must be rejected.
For the same reason, we reject plaintiffs’ facial challenge to
the statute based on a due process argument focusing on opportunity to
be heard. When a hearing is set on permanent declaration that a weapon
is an assault weapon, only manufacturers or California distributors of
the weapon have a right to intervene. Others, including gun owners,
“may, in the court’s discretion, thereafter join the action as amicus curiae.”
(§ 12276.5, subd. (e).) Plaintiffs complain that gun owners
might become criminally liable for failure to register without ever having
had an opportunity to contest the addition of their guns to the list of
assault weapons. This claim suffers from the same defect as plaintiffs’
notice claim. While due process requirements might arguably prevent
prosecution in a particular case—where a gun owner sought but was denied
amicus curiae status at the section 12276.5, subdivision (e), hearing,
or where the Attorney General’s petition went unopposed because no one
with an incentive to oppose it received actual notice of the hearing—plaintiffs’
facial attack is inadequate because they have not demonstrated a deprivation
of due process in the “vast majority” (American Academy, supra, 16 Cal.4th
at p. 343) or “ ‘generality’ ” (California Teachers, supra, 20 Cal.4th
at p. 347) of cases.
II. DISPOSITION
We reverse the judgment of the Court of Appeal.
BROWN, J.
WE CONCUR:
GEORGE, C.J.
BAXTER, J.
WERDEGAR, J.
CHIN, J.
CONCURRING OPINION BY MOSK, J.
I concur in the result and much of the reasoning of the majority opinion.
I write separately to articulate a somewhat different view of the separation
of powers issue.
As the majority correctly recognize, the role that courts play in the
add-on procedures of Penal Code section 12276.5 is “essentially adjudicatory.”
(Maj. opn., ante, at p. 20.) Yet the majority’s extensive discussion
of cases involving the judiciary’s performance of extrajudicial functions
obscures this point. To my mind, the role the court is being asked
to play in section 12276.5 is the traditional one of judicially reviewing
whether administrative regulations comply with a statute, and there is
therefore no real separation of powers issue.
Typically, quasi-legislative administrative regulations are reviewed
via a writ of mandate under Code of Civil Procedure section 1085.
(See Western States Petroleum Assn. v. Superior Court (1995) 9 Cal.4th
559, 567.) In this case, the Attorney General is for all intents
and purposes promulgating a regulation pursuant to the very specific guidelines
of Penal Code section 12276.5. The Legislature could have simply
prescribed procedures by which the Attorney General would issue the regulations,
and allow the challenge of the regulations through the normal writ of mandate
procedures. It chose instead to use an alternate procedure for judicial
review, one that occurs before the regulation can take effect. This
procedure also places the burden on the government to prove the validity
of the regulation rather than, in the usual writ of mandate proceedings,
placing the burden on the one challenging the regulation to prove an abuse
of discretion. (Western States Petroleum, supra, 9 Cal.4th at p.
568.) Although this form of judicial review is unconventional, it
is not unconstitutional. Indeed, the judicial review prescribed by
section 12276.5 is more protective of the individual’s right to be free
of overreaching government regulations than is conventional judicial review.
Therefore, cases cited by plaintiffs regarding the delegation to the judiciary
of extrajudicial functions (see, e.g., Mistretta v. United States (1989)
488 U.S. 361) are simply inapposite.
For this reason, I agree that Penal Code section 12276.5 does not violate
the constitutional separation of powers.
MOSK, J.
I CONCUR:
WERDEGAR, J.
CONCURRING OPINION BY BROWN, J.
I
I concur in the judgment and opinion of the court. I am
writing separately because, although the rejection of the equal protection
claim is compelled by the majority opinion in Warden v. State Bar (1999)
21 Cal.4th 628 (Warden), I would independently reach the same conclusion
under the unique circumstances of this case.
In Warden, a majority of this court abandoned our longstanding
commitment to “ ‘ “serious and genuine judicial inquiry” ’ ” into equal
protection claims in favor of the highly deferential rational basis formulation
articulated by the United States Supreme Court. (Warden, supra, 21
Cal.4th 628, 661 (dis. opn. of Brown, J.), quoting Newland v. Board of
Governors (1977) 19 Cal.3d 705, 711, quoting Dorrough v. Estelle (5th Cir.
1974) 497 F.2d 1007, 1011.) Under the standard adopted by the Warden
majority, “ ‘[I]n areas of social and economic policy, a statutory classification
that neither proceeds along suspect lines nor infringes fundamental constitutional
rights must be upheld against equal protection challenge if there is any
reasonably conceivable state of facts that could provide a rational basis
for the classification. [Citations.] Where there are “plausible
reasons” for [the classification] “our inquiry is at an end.” ’ (FCC
v. Beach Communications, Inc. (1993) 508 U.S. 307, 313, italics added,
quoting U.S. Railroad Retirement Bd. v. Fritz (1980) 449 U.S. 166, 179;
see, e.g., Central State University v. Amer. Assoc. of University Professors
(1999) 526 U.S. 124; Werner
v. Southern Cal. etc. Newspapers (1950) 35 Cal.2d 121, 130-132.)”
(Warden, at
p. 644.)
The dichotomy between the United States Supreme Court’s laissez-faire
treatment of social and economic rights and its hypervigilance with respect
to an expanding array of judicially proclaimed fundamental rights is highly
suspect, incoherent, and constitutionally invalid. “[T]he outcome
in every case turns on how the court chooses to characterize the classification.
Suspect classifications, such as those based on race or that impact rights
the court deems ‘fundamental,’ warrant strict (read ‘fatal’) scrutiny;
other classifications warrant rational basis (read ‘anything goes’) review.
(FCC v. Beach Communications, Inc., supra, 508 U.S. 307, 313-316.)
As Justice Mosk so aptly put it, ‘[t]he vice of the binary theory . . .
is that it applies either a standard that is virtually always met (the
rational relationship test) or one that is almost never satisfied (the
strict scrutiny test). [Citation.] Once the test is selected,
the result of its application is foreordained . . . .’ (Hays v. Wood
(1979) 25 Cal.3d 772, 796 (conc. opn. of Mosk, J.).)” (Warden, supra,
21 Cal.4th at pp. 661-662 (dis. opn. of Brown, J.).) Just so, the
result here was foreordained once we assumed “the AWCA does not burden
a fundamental right under either the federal or state Constitutions, [and
therefore,] the rational basis test applies. (See Peoples Rights
Organization, Inc. v. City of Columbus (6th Cir. 1998) 152 F.3d 522, 531-533;
Coalition of New Jersey Sportsmen, Inc. v. Whitman (D.N.J. 1999) 44 F.Supp.2d
666, 685; California Rifle [& Pistol Assn., Inc. v. City of West Hollywood
(1998)] 66 Cal.App.4th 1302, 1329; Suter v. City of Lafayette (1997) 57
Cal.App.4th 1109, 1133; In re Evans (1996) 49 Cal.App.4th 1263, 1270.)”
(Maj. opn., ante, at p. 6.)
This case, however, illustrates the illusory nature of the distinction
between “fundamental rights” and “areas of social and economic policy.”
Curiously, in the current dialectic, the right to keep and bear arms –
a right expressly guaranteed by the Bill of Rights – is deemed less fundamental
than implicit protections the court purports to find in the penumbras of
other express provisions. (See, e.g., Cruzan v. Director, Mo. Dept.
of Health (1990) 497 U.S. 261, 278-279; Zablocki v. Redhail (1978) 434
U.S. 374, 384-387; Moore v. City of East Cleveland (1977) 431 U.S. 494,
499-500.) But surely, the right to preserve one’s life is at least
as fundamental as the right to preserve one’s privacy.
The founding generation certainly viewed bearing arms as an individual
right based upon both English common law and natural law, a right logically
linked to the natural right of self-defense. Blackstone described
self-defense as the “primary law of nature,” which could not be taken away
by the law of society. (2 Jones’s Blackstone (1976) p. 4.)
“[T]he peaceable part of mankind will be continually overrun by the vile
and the abandoned, while they neglect the means of self defense. . . .
The supposed quietude of the good man allures the ruffian;
. . . (but) arms like laws discourage and keep the invader and the
plunderer in awe, and preserve order in the world. . . . Horrid mischief
would ensue were (the good) deprived of the use of [weapons] . . . the
weak will become a prey to the strong.” (1 Paine, The Writings of
Thomas Paine (Conway edit. 1894) p. 56.) Extant political writings
of the period repeatedly expressed a dual concern: facilitating the
natural right of self-defense and assuring an armed citizenry capable of
repelling foreign invaders and quelling tyrannical leaders.
After the Civil War a series of enactments, culminating with
the Fourteenth Amendment, acknowledged the correlation between self-defense,
citizenship, and freedom. Section 14 of the Freedman’s Bureau Act,
which the 39th Congress passed over the President’s veto, provided:
“That in every State or district where the ordinary course of judicial
proceedings has been interrupted by the rebellion,
. . . the right to . . . have full and equal benefit of all laws and
proceedings concerning personal liberty, personal security, and the acquisition,
enjoyment, and disposition of estate, real and personal, including the
constitutional right to bear arms, shall be secured to and enjoyed by all
the citizens of such State or district without respect to race or color
or previous condition of slavery. . . .” (Freedman’s Bureau Act (July
16, 1866) 14 Stat. 176, italics added; see Halbrook, Second Class Citizenship
and the Second Amendment in the District of Columbia (1995) 5 Geo. Mason
U. Civ. Rts. L.J. 105, 141-150 (Second Class Citizenship).)
Halbrook concludes the Freedman’s Bureau Act, the Civil Rights
Act of 1866, and the Fourteenth Amendment leave no doubt that “ ‘the constitutional
right to bear arms’ is included among the ‘laws and proceedings concerning
personal liberty, personal security,’ and property, and that ‘the free
enjoyment of such immunities and rights’ is to be protected” (Second Class
Citizenship, supra,
5 Geo. Mason U. Civ. Rts. L.J. at p. 150) under the Fourteenth Amendment,
which would confer citizenship on all persons born in the United States
and imbue them with every right of citizenship, including the right to
keep and bear arms. (Ibid.) In more recent times, Congress
has continued to recognize that the right of law-abiding citizens to keep
and bear arms is guaranteed by the Second and the Fourteenth Amendments.
(Pub.L. No. 99-308 (May 19, 1986) 100 Stat. 449.)
The judiciary, too, has consistently acknowledged the interplay
between express provisions and implicit protections. In Poe v. Ullman
(1960) 367 U.S. 497, the seminal case in the Supreme Court’s fundamental
rights jurisprudence, Justice Harlan, dissenting, argued the Fourteenth
Amendment due process clause protects privacy. He claimed the due
process clause covered, but was not exclusively limited to, “the precise
terms of the specific guarantees elsewhere provided in the constitution,”
including “freedom of speech, press, and religion; the right to keep and
bear arms; the freedom from unreasonable searches and seizures.”
(Id. at p. 549 (dis. opn. of Harlan, J.).) The court continues to
cite Justice Harlan’s enumeration as part of the full scope of liberty
guaranteed by the Fourteenth Amendment against state infringement.
(Planned Parenthood Southeastern PA v. Casey (1992) 505 U.S. 833, 848-849;
Roe v. Wade (1973) 410 U.S. 113, 169 (conc. opn. of Stewart, J.); Griswold
v. Connecticut (1965) 381 U.S. 479, 499 (conc. opn. of Goldberg, J.).)
II
We got it right two decades ago: “The constitutional bedrock
upon which all equal protection analysis rests is composed of the insistence
upon a rational relationship between selected legislative ends and the
means chosen to further or achieve them.” (Hays v. Wood (1979) 25
Cal.3d 772, 786.) The reasoning on which we relied has even greater
force now. “The framers of the Constitution knew, and we should not
forget today, that there is no more effective practical guaranty against
arbitrary and unreasonable government than to require that the principles
of law which officials would impose upon a minority must be imposed generally.
Conversely, nothing opens the door to arbitrary action so effectively as
to allow those officials to pick and choose only a few to whom they will
apply legislation and thus to escape the political retribution that might
be visited upon them if larger numbers were affected. Courts can
take no better measure to assure that laws will be just than to require
that laws be equal in operation.” (Id. at pp. 786-787, quoting Railway
Express v. New York (1949) 336 U.S. 106, 112-113 (conc. opn. of Jackson,
J.); Gunther, Foreword: In Search of Evolving Doctrine on a Changing Court:
A Model for a Newer Equal Protection (1972) 86 Harv. L.Rev. 1, 8.)
It is true, of course, that even a searching equal protection analysis
will not preclude all underinclusive classifications. Rational basis
with bite merely requires that when a legislature addresses an area of
concern “in less than comprehensive fashion by ‘striking the evil where
it is felt most,’ [citation] its decision as to where to “ ‘strike’ ” must
have a rational basis in light of the legislative objectives.” (Hays
v. Wood, supra, 25 Cal.3d at p. 791, quoting Werner v. Southern Cal. etc.
Newspapers, supra, 35 Cal.2d at p. 132.) The anomaly here, of course,
is that those complaining of unequal treatment – gun owners and dealers
– are not a powerless minority, but rather one of the most focused and
well-financed interest groups in modern American politics.
Politics is the art of the possible under pressure. “Everything
that emerges from the legislative forum is tainted by its journey through
the lobby. And the demand for perfection must inevitably compromise
with the hard facts of political life.” (Tussman & tenBroek,
The Equal Protection of the Laws (1949) 37 Cal. L. Rev. 341, 350.)
The pledge of equality before the law becomes meaningless if courts routinely
validate legislative acquiescence to the strongest pressure group; but
democratic processes are undermined if courts exhibit zero tolerance for
any deviation from the great principle of equal protection. And the
toughest and most delicate of questions is how to apply the principles
of equal protection in a case like this one which defies – or perhaps redefines
– the paradigm. The answer does not depend on “a mechanical application
of convenient formulae,” but rather requires a “complex and creative act
of judgment.” (Id. at pp. 350-351.) In this narrow intersection,
rational basis analysis and heightened scrutiny may look the same.
Plaintiffs complain that the ban is irrationally underinclusive.
Admittedly, the Legislature’s findings and declarations seem internally
inconsistent. While declaring that it banned the semiautomatic firearms
listed in Penal Code section 12276 because each weapon “has such a high
rate of fire and capacity for firepower that its function as a legitimate
sports or recreational firearm is substantially outweighed by the danger
that it can be used to kill and injure human beings,” the Legislature goes
on to declare that it does not intend “to place restrictions on the use
of those weapons which are primarily designed and intended for hunting,
target practice, or other legitimate sports or recreational activities.”
(Pen. Code, § 12275.5.) Conspicuous by its absence is any finding
that the listed weapons differ from those not listed with respect to the
salient characteristic, namely, their “rate of fire and capacity for firepower.”
(Ibid.)
On the other hand, plaintiff’s claim that the ban is irrational
because it will have no effect on violent crime proves too much.
The insistence upon a rational relationship between selected legislative
ends and the means chosen to further them cannot be so exacting.
To declare murder a crime will not prevent murder. Prohibiting the
possession of weapons by convicted felons will not stop criminals from
obtaining guns. Assessing ever greater penalties has not eliminated
the scourge of drug abuse. Means scrutiny assumes the law will have
some effect and compares that effect with the means the Legislature has
chosen.
Were courts to overturn every legislative action that is likely
to be ineffective, few laws would survive. As in other spheres of
human endeavor, legislative action is often fated to be more symbolic than
real, and the understandable human desire to do something to address the
crisis of the moment, not to mention the political necessity of being seen
to be doing something, may be the real object of many legislative exercises.
(See Kobayashi & Olson, In re 101 California Street: A Legal
and Economic Analysis of Strict Liability for the Manufacture and Sale
of “Assault Weapons” (1997) 8 Stan. L. & Pol’y Rev. 41, 43.)
And, to be fair, the most severe problems confronting us – like the current
plague of violence – are quite beyond the capacity of government to cure.
As Solzhenitsyn observed half a century ago, “the line separating good
and evil passes not through states, nor between classes, nor between political
parties either – but right through every human heart – and through all
human hearts.” (Solzhenitsyn, The Gulag Archipelago (1992) p. 615.)
Constitutional provisions divide into two categories: the
“historically defined hard core of procedural provisions,” including the
Bill of Rights, the mechanics of institutional arrangements, political
processes, and power allocations (Bickel, The Morality of Consent (1975)
p. 29) and the “constitutional generalities” which must make it possible
for future battles to be fought and for the Constitution “to transcend
and endure beyond the fiercest political differences.” (Bickel, The
Least Dangerous Branch (1962) p. 105.) While the courts must enforce
both, the necessary openendedness of concepts like equal protection means
judicial review has important practical limits in a democracy. Where
legislative compromise is still possible under conditions which are likely
to fairly reconcile competing interests, courts may decline to intervene.
The court’s duty to restrain the tyranny of the majority must be measured
against its obligation to act prudentially and with deference to the political
process. Under our regime, a court must oppose arbitrary injustice
even when acts of oppression have been duly enacted, and may vouchsafe
no answer though contending political forces – momentarily in equipoise
– teeter on the edge of tyranny.
Here, the underinclusiveness of the statute is not an attempt
to exploit a despised minority. Instead, the Legislature sought to
satisfy its need to do something about gun violence without awakening the
political enmity of a large and effective constituency. Gun owners
may be, as amici curiae argue, “a class of people subjected . . . to vicious
stereotypes,” but in the political realm a vicious stereotype is a constitutional
disadvantage only when it results in impotence.
III
The issue before us may be among the most troubling and intractable
of the last 30 years. Predictably, as cultural disintegration accelerates,
the level of lethal violence escalates. Even cynics, quick to accuse
elected officials of political posturing and empty symbolism, are stunned
by the steadily mounting body count. Like the poet, we are forced
to “put [our] eyes on a diet” because our “tears are gaining too much weight.”
(Kaufman, Golden Sardine (1967) “Heavy Water Blues,” p. 60.) It is
impossible not to grieve for the thousands of young men cut down in their
prime; impossible not to mourn toddlers slaughtered in the midst of innocent
play; impossible to ignore the grim reality of school children whose final
moments echo with screams of terror and the sudden slap of bullets.
And worse even than the slaughter of innocents is the death of innocence.
All too often, the killers are children, too.
Some antigun advocates candidly admit they welcome “ ‘[shooting]
incidents’ ” and hope “ ‘more heinous ones with more tragic or important
victims’ ” will help move public opinion beyond support for narrow
controls to the desired goal of complete disarmament. (Kates, Gun
Control: Separating Reality From Symbolism (1994) 20 J. Contemp.
L. 353, 358, quoting Ross, Book Review (1992) 98 Am. J. Soc. 661.)
Amitai Etzioni, as spokesman for the Communitarian Network, dismisses the
gun control measures that have been enacted and those currently under discussion
as but “ ‘vanilla-pale’ ” measures. (Kopel et al., Communitarians,
Neorepublicans, and Guns: Assessing the Case for Firearms Prohibitions
(1997) 56
Md. L. Rev. 438, 450, quoting Etzioni et al., The Case for Domestic
Disarmament (1992) The Communitarian Network <http://www.gwu.edu/~ccps/pop_disarm.html
(June 5, 2000).) In Professor Etzioni’s view, the only effective
measure to end gun violence is domestic disarmament. (Ibid.)
He has elsewhere argued that the right of the people to keep and bear arms
(if any such right exists) is outweighed by the right of the public to
be safe. (Kopel et al., at p. 445, quoting The Communitarian Network,
The Responsive Communitarian Platform: Rights and Responsibilities
reprinted in Rights and the Common Good: The Communitarian Perspective
(Etzioni edit. 1995) 11, 19.)
I suspect the freedmen of the Reconstruction Era would vehemently
disagree. So would the Armenians facing the Ottoman Turks in 1915,
the embattled Jews of the Warsaw Ghetto in 1943, and the victims of Pol
Pot's killing fields.
The media keep the horrific visions of gun violence ever before
our eyes. These acts of individual madness are undeniably tragic
and totally unacceptable in a civilized society. But there are other
horrific visions – the victims of which number in the millions – perpetrated
by governments against unarmed populations.
CONCLUSION
The framers could have had no conception of the massive scale
on which government-sanctioned murder would be committed in the twentieth
century, but they had a keen appreciation of the peril of being defenseless.
That wariness is reflected in the Constitution. Perhaps they would
agree with Thomas Paine’s practical observation in his article Thoughts
on Defensive War (Paine, Thoughts on Defensive War (July 1775) Pennsylvania
Magazine <http://www.scican.net/
~jsnider/thotsdefwar.html> (as of June 13, 2000)): “I am thus
far a Quaker, that I would gladly agree with all the world to lay aside
the use of arms, and settle matters by negotiation: but unless the
whole will, the matter ends, and I take up my musket and thank heaven .
. . .”
BROWN, J.
CONCURRING AND DISSENTING OPINION BY KENNARD, J.
The Roberti-Roos Assault Weapons Control Act of 1989 (Pen. Code,
§ 12275 et seq.; hereafter the Act) bans certain semiautomatic firearms
as “assault weapons,” listing them by make and model. Plaintiffs’
complaint alleged that many other guns not banned by the Act are identical
to or functionally indistinguishable from those that are banned.
According to plaintiffs, the Act draws no rational distinction between
the guns that are prohibited and those that are not, thus violating state
and federal constitutional guarantees of equal protection of the laws.
Unlike the majority, I agree with the Court of Appeal that plaintiffs’
complaint has adequately alleged an equal protection violation and that
therefore plaintiffs are entitled to present evidence in support of their
allegations.
Although I disagree with the majority’s rejection of plaintiffs’
equal protection claim, I join fully in parts I.B. and I.C. of the majority
opinion, rejecting plaintiffs’ separation of powers and due process claims.
I
On January 17, 1989, a mentally disturbed man armed with a semiautomatic
rifle fired 105 rounds at a Stockton schoolyard, killing five children
and wounding many others. This tragedy prompted the Legislature’s
passage of the Act some six months later.
In section 12275.5, the Act sets out the Legislature’s intent
for its ban on assault weapons: “The Legislature hereby finds and
declares that the proliferation and use of assault weapons poses a threat
to the health, safety, and security of all citizens of this state.
The Legislature has restricted the assault weapons specified in Section
12276 based upon finding that each firearm has such a high rate of fire
and capacity for firepower that its function as a legitimate sports or
recreational firearm is substantially outweighed by the danger that it
can be used to kill and injure human beings. It is the intent of
the Legislature in enacting this chapter to place restrictions on the use
of assault weapons and to establish a registration and permit procedure
for their lawful sale and possession. It is not, however, the intent
. . . to place restrictions on the use of those weapons which are primarily
designed and intended for hunting, target practice, or other legitimate
sports or recreational activities.”
The Act defines as “assault weapons” certain semiautomatic rifles,
pistols, and shotguns, listing them by manufacturer and model. (§
12276.) It also contains a judicial “add-on” procedure allowing the
Attorney General to petition a court to add certain other makes and models
of firearms to the assault weapons list. (§ 12276.5, subd. (a)(1)
and (2).)
For guns classified as assault weapons, the Act makes their manufacture,
distribution, import into the state, sale, or loan a felony punishable
by up to eight years in state prison. (§ 12280, subd. (a)(1).)
The Act also prohibits possession of such guns, an offense punishable by
up to one year of imprisonment. (§ 12280, subd. (b).)
But the Act has a “grandfather” provision allowing persons who owned assault
weapons before June 1, 1989, or before they were judicially added to the
list of assault weapons, to register them with the Department of Justice
and then to have limited use of those guns. (§ 12285, subds.
(a), (b)(1) and (c).)
II
In April 1991, plaintiffs filed this action challenging the constitutionality
of the Act on various grounds. The first amended complaint asserted
that section 12276.5’s judicial add-on procedure, which allows the Attorney
General to petition a court to add certain other firearms to the assault
weapons list, impermissibly assigned legislative functions to the judicial
branch in violation of California Constitution, article VI, section 1.
The complaint also alleged that the Act failed to provide fair warning
to owners of the judicially added-on guns, thus violating principles of
due process under the federal and state Constitutions (U.S. Const., 14th
Amend., § 1; Cal. Const., art. I, § 29). As I noted at
the outset, I agree with the majority that as to either allegation plaintiffs
have failed to adequately state a cause of action.
Plaintiffs’ complaint also alleged violations of the equal protection
guarantees of the federal and state Constitutions, contending the Act was
constitutionally underinclusive because there was no rational basis for
regulating the listed firearms but not regulating other identical or functionally
indistinguishable guns.
The Attorney General demurred to plaintiffs’ first amended complaint.
The trial court sustained the demurrer and dismissed the case. The
Court of Appeal reversed. This court granted the Attorney General’s
petition for review, which raised, among others, this issue: Does
a penal statute listing firearms by model, type, and series, and prohibiting
their possession, sale, and use, violate principles of equal protection
by failing to include on the list other functionally indistinguishable
firearms? The answer is “yes,” as I explain below.
III
A
The federal Constitution provides that no state shall “deny to any
person within its jurisdiction the equal protection of the laws.”
(U.S. Const., 14th Amend., § 1.) This provision does not create
substantive rights. (San Antonio Independent School Dist. v. Rodriguez
(1973) 411 U.S. 1, 33.) “Instead, it embodies a general rule that
States must treat like cases alike but may treat unlike cases accordingly.”
(Vacco v. Quill (1997) 521 U.S. 793, 799.)
Like the federal Constitution, the California Constitution provides
that “[a] person may not be . . . denied equal protection of the laws.”
(Cal. Const., art. I, § 7, subd. (a).)
As I stated recently in my dissenting opinion in Warden v. State Bar
(1999) 21 Cal.4th 628, 652: “The United States Supreme Court and
this court have enunciated three standards of review for deciding constitutional
equal protection challenges. (See generally Tribe, American Constitutional
Law (2d ed. 1988) §§ 16-32, p. 1601 et seq.) For legislation
containing a ‘suspect’ classification, such as race, or touching upon a
fundamental interest, such as voting, courts have been directed to apply
strict scrutiny and to uphold the legislation only if its classification
is precisely tailored to further a compelling governmental interest.
[Citations.] For legislation discriminating on the basis of gender
or illegitimacy, courts are to apply intermediate scrutiny and to uphold
the legislation only if its classification serves an important governmental
objective and is substantially related to achievement of that objective.
[Citations.] Finally, when the conditions requiring either strict
or intermediate scrutiny are absent, courts are to apply what is commonly
called the ‘rational basis’ standard of review, under which challenged
legislation is upheld if its classification is rationally related to a
legitimate governmental purpose. [Citations.]”
Here, plaintiffs assert that the Act, when evaluated under the
deferential rational basis test, violates the constitutional guarantee
of equal protection of the laws. Because I conclude that plaintiffs
have adequately pled an equal protection cause of action under that standard,
I do not address the applicability of any stricter test.
Although the majority and I both apply the rational basis test
to this case, we reach different conclusions. I do, however, agree
with the majority’s general observation that the right to equal protection
granted to “persons” by the federal and state Constitutions extends not
just to persons but to persons’ interests in things, such as plaintiffs’
interests in particular firearms covered by the Act. (Maj. opn.,
ante, at p. 4, in this regard disagreeing with Benjamin v. Bailey (Conn.
1995) 662 A.2d 1226, 1235-1237; and disapproving California Rifle &
Pistol Assn. v. City of West Hollywood (1998) 66 Cal.App.4th 1302, 1326.)
B
The United States Supreme Court has itself acknowledged that
its cases applying the rational basis standard have described that standard
in differing, and oftentimes conflicting, ways. (See U.S. Railroad
Retirement Bd. v. Fritz (1980) 449 U.S. 166, 176-177, fn. 10 [“The most
arrogant legal scholar would not claim that all of [this court’s rational
basis] cases applied a uniform or consistent test under equal protection
principles”].) But in its most recent pronouncements on the rational
basis test, the high court has said this: “In areas of social and
economic policy, a statutory classification that neither proceeds along
suspect lines nor infringes fundamental constitutional rights must be upheld
against equal protection challenge if there is any reasonably conceivable
state of facts that could provide a rational basis for the classification.”
(FCC v. Beach Communications, Inc. (1993) 508 U.S. 307, 313; accord, Central
State Univ. v. Amer. Assoc. of Univ. Professors (1999) 526 U.S.124, 127-128
(Central State Univ.) [“ ‘a classification neither involving fundamental
rights nor proceeding along suspect lines . . . cannot run afoul of the
Equal Protection Clause if there is a rational relationship between the
disparity of treatment and some legitimate governmental purpose’ ”].)
The United States Supreme Court does not “require a legislature to
articulate its reasons for enacting a statute, [and considers it] entirely
irrelevant for constitutional purposes whether the conceived reason for
the challenged distinction actually motivated the legislature.” (FCC
v. Beach Communications, Inc., supra, 508 U.S. at p. 315; Nordlinger v.
Hahn (1992) 505 U.S. 1, 15 [equal protection “does not demand for purposes
of rational-basis review that a legislature . . . actually articulate .
. . the purpose or rationale supporting its classification”]; see also
Central State Univ., supra, 526 U.S. at p. 129 (conc. opn. of Ginsburg,
J.) [“for the mine run of economic regulations that do not trigger heightened
scrutiny . . . ‘the Equal Protection Clause is satisfied so long as there
is a plausible policy reason for the classification’ ”].) And the
high court has said that “those attacking the rationality of the legislative
classification have the burden ‘to negative every conceivable basis which
might support it.’ ” (FCC v. Beach Communications, Inc., supra, 508
U.S. at p. 315.)
Although perhaps difficult to do, refuting every conceivable basis
that might support the rationality of a legislative classification is not
impossible. “[E]ven in the ordinary equal protection case calling
for the most deferential of standards, [courts must ascertain] the relation
between the classification adopted and the object to be attained.
The search for the link between classification and objective gives substance
to the Equal Protection Clause.” (Romer v. Evans (1996) 517 U.S.
620, 632.) That clause “does not forbid classifications,” but it
does forbid “governmental decisionmakers from treating differently persons
who are in all relevant respects alike.” (Nordlinger v. Hahn, supra,
505 U.S. at p. 10.) Thus, a statute may violate equal protection
if it is underinclusive (benefiting or burdening only some members of a
group of similarly situated individuals), and if there is no rational basis
for its discriminatory treatment of different members of the group.
Here, the Act treats manufacturers and owners of semiautomatic firearms
classified by make and model in section 12276’s list of assault weapons
differently from those who manufacture and own other semiautomatic firearms.
Manufacturers of firearms included in the list of assault weapons cannot
make or sell those guns in California. (§ 12280, subd. (a)(1).)
And owners of such firearms must register them with the Department of Justice
to have even limited use of their guns. (§ 12285, subds. (a)
and (c).) Noncompliance with these restrictions is punishable as
a felony. (§ 12280, subds. (a)(1) and (b).) But for all
other semiautomatic firearms, the Act imposes no registration requirement
or limitation on their manufacture, transfer, or use.
Plaintiffs’ complaint alleged that the Act is unconstitutionally underinclusive
because the regulated firearms are identical or functionally indistinguishable
from unregulated firearms. According to the complaint, firearms covered
by the Act pose no greater risk to the public than any other semiautomatic
firearms, and Federal Bureau of Investigation statistics show that, in
comparison to all other firearms, the guns classified in the Act’s list
of assault weapons are rarely used in crime. The complaint further
alleged that some of the guns not covered by the Act are actually more
deadly than those classified as assault weapons, because the latter generally
are designed for “down-powered military ammunition” intended to maximize
wounding, not killing, in deference to the laws of war, while the former
include hunting rifles, intended for killing. Plaintiffs assert that
other omitted semiautomatic firearms are identical in weight or lighter
than regulated guns, and shoot “similar or identical military-caliber ammunition
at the same rate of fire, from magazines holding an equal number of rounds.”
Because the trial court here dismissed plaintiffs’ complaint without
giving them the opportunity to present evidence, those allegations must
be “deemed true for the limited purpose of determining whether the plaintiff[s]
[have] stated a viable cause of action.” (Stevenson v. Superior Court
(1997) 16 Cal.4th 880, 885; Crowley v. Katleman (1994) 8 Cal.4th 666, 672].)
Therefore, I assume the truth of plaintiffs’ allegations that the semiautomatic
firearms specified in the Act as assault weapons are not in any material
respect different from other semiautomatic firearms that, although identical
to or functionally indistinguishable from the banned guns, are not subject
to the Act.
As I have explained, the constitutional principle of equal protection
prohibits a law from “treating differently persons who are in all relevant
respects alike.” (Nordlinger v. Hahn, supra, 505 U.S. at p. 10; see
also Peoples Rights Organization, Inc. v. City of Columbus (6th Cir. 1998)
152 F.3d 522, 532-533 [invalidating on this ground the registration provision
of an assault weapon law treating differently owners of functionally indistinguishable
guns].) If in this case the factual allegations pleaded in plaintiffs’
complaint are true, the Act violates the constitutional guarantee of equal
protection of the laws by irrationally banning some but not all similar
firearms. In my view, plaintiffs have adequately pleaded a cause
of action alleging the Act’s equal protection violation.
In rejecting plaintiffs’ equal protection claim, the majority states
that the Legislature could properly address the prohibition and regulation
of semiautomatic firearms one step at a time, banning some now and leaving
until later the decision to ban others. (Maj. opn., ante, at pp.
15-16.) The majority wholly misapplies the rule it invokes, however.
It fails to recognize that legislation does not automatically satisfy the
constitutional guarantee of equal protection of the laws simply by addressing
only part of a problem. Contrary to the majority, it is not enough
that the Legislature here thought that banning some -- but not all -- similar
guns “would make California a safer place, even if only marginally and
incrementally.” (Id. at p. 19.) Rather, the Legislature must
have some rational basis for drawing the lines that it does; it may not
arbitrarily choose whom to regulate and whom to leave untouched.
Not only must the legislative objective (here, a reduction in gun violence)
be rational, but the classifications drawn to advance that objective (here,
the division between the weapons prohibited by the Act and those it permits)
must also be rational.
“[W]hen the legislative body proposes to address an area of concern
in less than comprehensive fashion by ‘striking the evil where it is felt
most’ [citation], its decision as to where to ‘strike’ must have a rational
basis in light of the legislative objectives. The same principle
was expressed by the United States Supreme Court in Rinaldi v. Yeager (1966)
384 U.S. 305, when it stated, at pages 308-309: ‘The Equal Protection
Clause requires more of a state law than nondiscriminatory application
within a class it establishes. [Citation.] It also imposes
a requirement of some rationality in the nature of the class singled out.
. . . [T]he Equal Protection Clause does require that, in defining
a class subject to legislation, the distinctions that are drawn have “some
relevance to the purpose for which the classification is made.” [Citations.]’
” (Hays v. Woods (1979) 25 Cal.3d 772, 791.)
The United States Supreme Court applied the requirement that any step-by-step
approach have a rational basis for the disparities it creates in Minnesota
v. Clover Leaf Creamery Co. (1981) 449 U.S. 456, 466. There, Minnesota
banned plastic disposable milk containers while permitting paper ones.
Relying on a full record created by “extensive evidentiary hearings” (id.
at p. 460), the high court explained that the distinction was justified
by evidence of differences in the environmental consequences of the two
different types of containers. It was only because of these differences
between the two types of containers, demonstrated in the evidentiary hearings,
that the court concluded that “[t]he Equal Protection Clause does not deny
the State of Minnesota the authority to ban one type of milk container
conceded to cause environmental problems [plastic], merely because another
type [paper], already established in the market, is permitted to continue
in use.” (Id. at p. 466.)
Here, plaintiffs’ complaint alleged that the Act discriminates between
owners and makers of different models of functionally indistinguishable
guns, with members of one group facing severe criminal penalties for conduct
that remains completely legal for similarly situated members of the other
group. The majority cites no United States Supreme Court authority
upholding any similar legislative scheme, much less authority for doing
so at the pleading stage without conducting any evidentiary proceedings
to resolve the merits of the issue. Just this year the high court
reiterated that a complaint alleging, as does plaintiffs’ complaint here,
that the government has treated similarly situated persons differently
and that its differential treatment is irrational and arbitrary is “sufficient
to state a claim for relief under traditional equal protection analysis.”
(Village of Willowbrook v. Olech (2000) ____ U.S. ____ [120 S.Ct. 1073,
1075].)
In concluding that the trial court erred in dismissing plaintiffs’
equal protection cause of action, I express no view on plaintiffs’ likelihood
of success in proving the similarities between the regulated and unregulated
semiautomatic firearms. At this juncture, I conclude only that plaintiffs
have alleged sufficient facts at the pleading stage permitting them to
go forward on their equal protection claim.
CONCLUSION
Because of all-too-frequent tragic instances of gun violence,
such as the Stockton schoolyard massacre that prompted the Legislature’s
1989 enactment of the Roberti-Roos Assault Weapons Control Act at issue
here, many in our society see the need for strict gun control. Others
oppose all firearm regulation, believing that it threatens what the United
States Supreme Court has called the “long tradition of widespread lawful
gun ownership by private individuals in this country.” (United States
v. Staples (1994) 511 U.S. 600, 610.) That public debate on gun policy
is not before us here.
Californians who are divided on the need for strict gun control
are generally united in supporting the constitutional principle of equal
protection—that the government should treat similar cases alike, free of
arbitrary or invidious distinctions. Here, plaintiffs have alleged
that the Act, which bans some semiautomatic weapons but not others, lacks
any rational basis for its choice of the guns that are subject to its requirements.
At this early stage of the litigation, those allegations are sufficient,
and plaintiffs should now be given the opportunity to
prove, if they can, what they have so far only alleged.
Unlike the majority, I would grant them this opportunity.
KENNARD, J.
APPENDIX
§ 12275. Short title
This chapter shall be known as the Roberti-Roos Assault Weapons Control
Act of 1989.
(Added by Stats.1989, c. 19, § 3.)
§ 12275.5. Legislative findings and declarations
The Legislature hereby finds and declares that the proliferation and
use of assault weapons poses a threat to the health, safety, and security
of all citizens of this state. The Legislature has restricted the
assault weapons specified in Section 12276 based upon finding that each
firearm has such a high rate of fire and capacity for firepower that its
function as a legitimate sports or recreational firearm is substantially
outweighed by the danger that it can be used to kill and injure human beings.
It is the intent of the Legislature in enacting this chapter to place restrictions
on the use of assault weapons and to establish a registration and permit
procedure for their lawful sale and possession. It is not, however,
the intent of the Legislature by this chapter to place restrictions on
the use of those weapons which are primarily designed and intended for
hunting, target practice, or other legitimate sports or recreational activities.
(Added by Stats.1989, c. 19, § 3.)
§ 12276. Assault weapon
As used in this chapter, "assault weapon" shall mean the following
designated semiautomatic firearms:
(a) All of the following specified rifles:
(1) All AK series including, but not limited to, the models identified
as follows:
(A) Made in China AK, AKM, AKS, AK47, AK47S, 56, 56S, 84S, and 86S.
(B) Norinco 56, 56S, 84S, and 86S.
(C) Poly Technologies AKS and AK47.
(D) MAADI AK47 and ARM.
(2) UZI and Galil.
(3) Beretta AR-70.
(4) CETME Sporter.
(5) Colt AR-15 series.
(6) Daewoo K-1, K-2, Max 1, Max 2, AR 100, and AR 110C.
(7) Fabrique Nationale FAL, LAR, FNC, 308 Match, and Sporter.
(8) MAS 223.
(9) HK-91, HK-93, HK-94, and HK-PSG-1.
(10) The following MAC types:
(A) RPB Industries Inc. sM10 and sM11.
(B) SWD Incorporated M11.
(11) SKS with detachable magazine.
(12) SIG AMT, PE-57, SG 550, and SG 551.
(13) Springfield Armory BM59 and SAR-48.
(14) Sterling MK-6.
(15) Steyer AUG.
(16) Valmet M62S, M71S, and M78S.
(17) Armalite AR-180.
(18) Bushmaster Assault Rifle.
(19) Calico M-900.
(20) J&R ENG M-68.
(21) Weaver Arms Nighthawk.
(b) All of the following specified pistols:
(1) UZI.
(2) Encom MP-9 and MP-45.
(3) The following MAC types:
(A) RPB Industries Inc. sM10 and sM11.
(B) SWD Incorporated M-11.
(C) Advance Armament Inc. M-11.
(D) Military Armament Corp. Ingram M-11.
(4) Intratec TEC-9.
(5) Sites Spectre.
(6) Sterling MK-7.
(7) Calico M-950.
(8) Bushmaster Pistol.
(c) All of the following specified shotguns:
(1) Franchi SPAS 12 and LAW 12.
(2) Striker 12.
(3) The Streetsweeper type S/S Inc. SS/12.
(d) Any firearm declared by the court pursuant to Section 12276.5 to
be an assault weapon that is specified as an assault weapon in a list promulgated
pursuant to Section 12276.5.
(e) The term "series" includes all other models that are only variations,
with minor differences, of those models listed in subdivision (a), regardless
of the manufacturer.
(f) This section is declaratory of existing law, as amended, and a
clarification of the law and the Legislature's intent which bans the weapons
enumerated in this section, the weapons included in the list promulgated
by the Attorney General pursuant to Section 12276.5, and any other models
which are only variations of those weapons with minor differences, regardless
of the manufacturer. The Legislature has defined assault weapons
as the types, series, and models listed in this section because it was
the most effective way to identify and restrict a specific class of semiautomatic
weapons.
(Added by Stats.1989, c. 19, § 3. Amended by Stats.1991,
c. 954 (S.B.263), § 2.)
(Amended by Stats.1992, c. 427 (A.B.3355), § 134; Stats.1993,
c. 606 (A.B.166), § 19 eff. Oct. 1, 1993.)
§ 12276.1. Assault weapon; further definition
(a) Notwithstanding Section 12276, "assault weapon" shall also mean
any of the following:
(1) A semiautomatic, centerfire rifle that has the capacity to accept
a detachable magazine and any one of the following:
(A) A pistol grip that protrudes conspicuously beneath the action of
the weapon.
(B) A thumbhole stock.
(C) A folding or telescoping stock.
(D) A grenade launcher or flare launcher.
(E) A flash suppressor.
(F) A forward pistol grip.
(2) A semiautomatic, centerfire rifle that has a fixed magazine with
the capacity to accept more than 10 rounds.
(3) A semiautomatic, centerfire rifle that has an overall length of
less than 30 inches.
(4) A semiautomatic pistol that has the capacity to accept a detachable
magazine and any one of the following:
(A) A threaded barrel, capable of accepting a flash suppressor, forward
handgrip, or silencer.
(B) A second handgrip.
(C) A shroud that is attached to, or partially or completely encircles,
the barrel that allows the bearer to fire the weapon without burning his
or her hand, except a slide that encloses the barrel.
(D) The capacity to accept a detachable magazine at some location outside
of the pistol grip.
(5) A semiautomatic pistol with a fixed magazine that has the capacity
to accept more than 10 rounds.
(6) A semiautomatic shotgun that has both of the following:
(A) A folding or telescoping stock.
(B) A pistol grip that protrudes conspicuously beneath the action of
the weapon, thumbhole stock, or vertical handgrip.
(7) A semiautomatic shotgun that has the ability to accept a detachable
magazine.
(8) Any shotgun with a revolving cylinder.
(b) "Assault weapon" does not include any antique firearm.
(c) The following definitions shall apply under this section:
(1) "Magazine" shall mean any ammunition feeding device.
(2) "Capacity to accept more than 10 rounds" shall mean capable of
accommodating more than 10 rounds, but shall not be construed to include
a feeding device that has been permanently altered so that it cannot accommodate
more than 10 rounds.
(3) "Antique firearm" means any firearm manufactured prior to January
1, 1899.
(d) This section shall become operative January 1, 2000.
(Added by Stats.1999, c. 129 (S.B.23), § 7, operative Jan. 1,
2000.)
§ 12276.5. Temporary suspension of manufacture, sale, distribution,
transportation, importation, or lending of alleged assault weapon; distribution
of description
(a) Upon request by the Attorney General filed in a verified petition
in a superior court of a county with a population of more than 1,000,000,
the superior court shall issue a declaration of temporary suspension of
the manufacture, sale, distribution, transportation, or importation into
the state, or the giving or lending of a firearm alleged to be an assault
weapon within the meaning of Section 12276 because the firearm is either
of the following:
(1) Another model by the same manufacturer or a copy by another manufacturer
of an assault weapon listed in subdivision (a), (b), or (c) of Section
12276 which is identical to one of the assault weapons listed in those
subdivisions except for slight modifications or enhancements including,
but not limited to: a folding or retractable stock; adjustable sight; case
deflector for left-handed shooters; shorter barrel; wooden, plastic or
metal stock; larger magazine size; different caliber provided that the
caliber exceeds .22 rimfire; or bayonet mount. The court shall strictly
construe this paragraph so that a firearm which is merely similar in appearance
but not a prototype or copy cannot be found to be within the meaning of
this paragraph.
(2) A firearm first manufactured or sold to the general public in California
after June 1, 1989, which has been redesigned, renamed, or renumbered from
one of the firearms listed in subdivision (a), (b), or (c) of Section 12276,
or which is manufactured or sold by another company under a licensing agreement
to manufacture or sell one of the firearms listed in subdivision (a), (b),
or (c) of Section 12276, regardless of the company of production or distribution,
or the country of origin.
(b) Upon the issuance of a declaration of temporary suspension by the
superior court and after the Attorney General has completed the notice
requirements of subdivisions (c) and (d), the provisions of subdivision
(a) of Section 12280 shall apply with respect to those weapons.
(c) Upon declaration of temporary suspension, the Attorney General
shall immediately notify all police, sheriffs, district attorneys, and
those requesting notice pursuant to subdivision (d), shall notify industry
and association publications for those who manufacture, sell, or use firearms,
and shall publish notice in not less than 10 newspapers of general circulation
in geographically diverse sections of the state of the fact that the declaration
has been issued.
(d) The Attorney General shall maintain a list of any persons who request
to receive notice of any declaration of temporary suspension and shall
furnish notice under subdivision (c) to all these persons immediately upon
a superior court declaration. Notice shall also be furnished by the
Attorney General by certified mail, return receipt requested (or substantial
equivalent if the person who is to receive the notice resides outside the
United States), to any known manufacturer and California distributor of
the weapon which is the subject of the temporary suspension order or their
California statutory agent for service. The notice shall be deemed
effective upon mailing.
(e) After issuing a declaration of temporary suspension under this
section, the superior court shall set a date for hearing on a permanent
declaration that the weapon is an assault weapon. The hearing shall
be set no later than 30 days from the date of issuance of the declaration
of temporary suspension. The hearing may be continued for good cause
thereafter. Any manufacturer or California distributor of the weapon
which is the subject of the temporary suspension order has the right, within
20 days of notification of the issuance of the order, to intervene in the
action. Any manufacturer or California distributor who fails to timely
exercise its right of intervention, or any other person who manufactures,
sells, or owns the assault weapon may, in the court's discretion, thereafter
join the action as amicus curiae.
(f) At the hearing, the burden of proof is upon the Attorney General
to show by a preponderance of evidence that the weapon which is the subject
of the declaration of temporary suspension is an assault weapon.
If the court finds the weapon to be an assault weapon, it shall issue a
declaration that it is an assault weapon under Section 12276. Any
party to the matter may appeal the court's decision. A declaration
that the weapon is an assault weapon shall remain in effect during the
pendency of the appeal unless ordered otherwise by the appellate court.
(g) The Attorney General shall prepare a description for identification
purposes, including a picture or diagram, of each assault weapon listed
in Section 12276, and any firearm declared to be an assault weapon pursuant
to this section, and shall distribute the description to all law enforcement
agencies responsible for enforcement of this chapter. Those law enforcement
agencies shall make the description available to all agency personnel.
(h) The Attorney General shall promulgate a list that specifies all
firearms designated as assault weapons in Section 12276 or declared to
be assault weapons pursuant to this section. The Attorney General
shall file that list with the Secretary of State for publication in the
California Code of Regulations. Any declaration that a specified
firearm is an assault weapon shall be implemented by the Attorney General
who, within 90 days, shall promulgate an amended list which shall include
the specified firearm declared to be an assault weapon. The Attorney
General shall file the amended list with the Secretary of State for publication
in the California Code of Regulations.
Chapter 3.5 (commencing with Section 11340) of Division 3 of Title
2 of the Government Code, pertaining to the adoption of rules and regulations,
shall not apply to any list of assault weapons promulgated pursuant to
this section.
(i) The Attorney General shall adopt those rules and regulations that
may be necessary or proper to carry out the purposes and intent of this
chapter.
(Added by Stats.1989, c. 19, § 3. Amended by Stats.1990,
c. 874 (S.B.2444), § 1; Stats.1991, c. 954 (S.B.263), § 3.)
§ 12277. Person
As used in this chapter, "person" means an individual, partnership,
corporation, limited liability company, association, or any other group
or entity, regardless of how it was created.
(Added by Stats.1989, c. 19, § 3.)
(Amended by Stats.1994, c. 1010 (S.B.2053), § 201.)
§ 12280. Manufacture, distribution, transportation, importation,
sale, possession, or lending of assault weapon; punishment; commission
of other crime; exceptions
(a)(1) Any person who, within this state, manufactures or causes to
be manufactured, distributes, transports, or imports into the state, keeps
for sale, or offers or exposes for sale, or who gives or lends any assault
weapon, except as provided by this chapter, is guilty of a felony, and
upon conviction shall be punished by imprisonment in the state prison for
four, six, or eight years.
(2) In addition and consecutive to the punishment imposed under paragraph
(1), any person who transfers, lends, sells, or gives any assault weapon
to a minor in violation of paragraph (1) shall receive an enhancement of
one year.
(b) Except as provided in Section 12288, and in subdivisions (c) and
(d), any person who, within this state, possesses any assault weapon, except
as provided in this chapter, is guilty of a public offense and upon conviction
shall be punished by imprisonment in the state prison, or in a county jail,
not exceeding one year. However, if the person presents proof that
he or she lawfully possessed the assault weapon prior to June 1, 1989,
or prior to the date it was specified as an assault weapon, and has since
either registered the firearm and any other lawfully obtained firearm specified
by Section 12276 or 12276.5 pursuant to Section 12285 or relinquished them
pursuant to Section 12288, a first-time violation of this subdivision shall
be an infraction punishable by a fine of up to five hundred dollars ($500),
but not less than three hundred fifty dollars ($350), if the person has
otherwise possessed the firearm in compliance with subdivision (c) of Section
12285. In these cases, the firearm shall be returned unless the court
finds in the interest of public safety, after notice and hearing, that
the assault weapon should be destroyed pursuant to Section 12028.
(c) A first-time violation of subdivision (b) shall be an infraction
punishable by a fine of up to five hundred dollars ($500), if the person
was found in possession of no more than two firearms in compliance with
subdivision (c) of Section 12285 and the person meets all of the following
conditions:
(1) The person proves that he or she lawfully possessed the assault
weapon prior to the date it was defined as an assault weapon pursuant to
Section 12276.1.
(2) The person is not found in possession of a firearm specified as
an assault weapon pursuant to Section 12276 or Section 12276.5.
(3) The person has not previously been convicted of violating this
section.
(4) The person was found to be in possession of the assault weapons
within one year following the end of the one-year registration period established
pursuant to subdivision (a) of Section 12285.
(5) The person has since registered the firearms and any other lawfully
obtained firearms defined by Section 12276.1, pursuant to Section 12285,
except as provided for by this section, or relinquished them pursuant to
Section 12288.
(d) Firearms seized pursuant to subdivision (c) shall be returned unless
the court finds in the interest of public safety, after notice and hearing,
that the assault weapon should be destroyed pursuant to Section 12028.
(e) Notwithstanding Section 654 or any other provision of law, any
person who commits another crime while violating this section may receive
an additional, consecutive punishment of one year for violating this section
in addition and consecutive to the punishment, including enhancements,
which is prescribed for the other crime.
(f) Subdivisions (a) and (b) shall not apply to the sale to, purchase
by, or possession of assault weapons by the Department of Justice, police
departments, sheriffs' offices, marshals' offices, the Youth and Adult
Corrections Agency, the Department of the California Highway Patrol, district
attorneys' offices, Department of Fish and Game, Department of Parks and
Recreation, or the military or naval forces of this state or of the United
States for use in the discharge of their official duties.
(g) Subdivision (b) shall not prohibit the possession or use of assault
weapons by sworn peace officer members of those agencies specified in subdivision
(f) for law enforcement purposes, whether on or off duty.
(h) Subdivisions (a) and (b) shall not prohibit the sale or transfer
of assault weapons by an entity specified in subdivision (f) to a person,
upon retirement, who retired as a sworn officer from that entity.
(i) Subdivision (b) shall not apply to the possession of an assault
weapon by a retired peace officer who received that assault weapon pursuant
to subdivision (h).
(j) Subdivision (b) shall not apply to the possession of an assault
weapon, as defined in Section 12276, by any person during the 1990 calendar
year, during the 90-day period immediately after the date it was specified
as an assault weapon pursuant to Section 12276.5, or during the one-year
period after the date it was defined as an assault weapon pursuant to Section
12276.1, if all of the following are applicable:
(1) The person is eligible under this chapter to register the particular
assault weapon.
(2) The person lawfully possessed the particular assault weapon described
in paragraph (1) prior to June 1, 1989, if the weapon is specified as an
assault weapon pursuant to Section 12276, or prior to the date it was specified
as an assault weapon pursuant to Section 12276.5, or prior to the date
it was defined as an assault weapon pursuant to Section 12276.1.
(3) The person is otherwise in compliance with this chapter.
(k) Subdivisions (a) and (b) shall not apply to the manufacture by
persons who are issued permits pursuant to Section 12287 of assault weapons
for sale to the following:
(1) Exempt entities listed in subdivision (f).
(2) Entities and persons who have been issued permits pursuant to Section
12286.
(3) Entities outside the state who have, in effect, a federal firearms
dealer's license solely for the purpose of distribution to an entity listed
in paragraphs (4) to (6), inclusive.
(4) Federal military and law enforcement agencies.
(5) Law enforcement and military agencies of other states.
(6) Foreign governments and agencies approved by the United States
State Department.
(l) Subdivision (a) shall not apply to a person who is the executor
or administrator of an estate that includes an assault weapon registered
under Section 12285 or that was possessed pursuant to subdivision (g) or
(i) which is disposed of as authorized by the probate court, if the disposition
is otherwise permitted by this chapter.
(m) Subdivision (b) shall not apply to a person who is the executor
or administrator of an estate that includes an assault weapon registered
under Section 12285 or that was possessed pursuant to subdivision (g) or
(i), if the assault weapon is possessed at a place set forth in paragraph
(1) of subdivision (c) of Section 12285 or as authorized by the probate
court.
(n) Subdivision (a) shall not apply to:
(1) A person who lawfully possesses and has registered an assault weapon
pursuant to this chapter who lends that assault weapon to another if all
the following apply:
(A) The person to whom the assault weapon is lent is 18 years of age
or over and is not in a class of persons prohibited from possessing firearms
by virtue of Section 12021 or 12021.1 of this code or Section 8100 or 8103
of the Welfare and Institutions Code.
(B) The person to whom the assault weapon is lent remains in the presence
of the registered possessor of the assault weapon.
(C) The assault weapon is possessed at any of the following locations:
(i) While on a target range that holds a regulatory or business license
for the purpose of practicing shooting at that target range.
(ii) While on the premises of a target range of a public or private
club or organization organized for the purpose of practicing shooting at
targets.
(iii) While attending any exhibition, display, or educational project
that is about firearms and that is sponsored by, conducted under the auspices
of, or approved by a law enforcement agency or a nationally or state recognized
entity that fosters proficiency in, or promotes education about, firearms.
(2) The return of an assault weapon to the registered possessor which
is lent by the same pursuant to paragraph (1).
(o) Subdivision (b) shall not apply to the possession of an assault
weapon by a person to whom an assault weapon is lent pursuant to subdivision
(n).
(p) Subdivisions (a) and (b) shall not apply to the possession and
importation of an assault weapon into this state by a nonresident if all
of the following conditions are met:
(1) The person is attending or going directly to or coming directly
from an organized competitive match or league competition that involves
the use of an assault weapon.
(2) The competition or match is conducted on the premises of one of
the following:
(i) A target range that holds a regulatory or business license for
the purpose of practicing shooting at that target range.
(ii) A target range of a public or private club or organization that
is organized for the purpose of practicing shooting at targets.
(3) The match or competition is sponsored by, conducted under the auspices
of, or approved by, a law enforcement agency or a nationally or state recognized
entity that fosters proficiency in, or promotes education about, firearms.
(4) The assault weapon is transported in accordance with Section 12026.1
or 12026.2.
(5) The person is 18 years of age or over and is not in a class of
persons prohibited from possessing firearms by virtue of Section 12021
or 12021.1 of this code or Section 8100 or 8103 of the Welfare and Institutions
Code.
(q) Subdivision (b) shall not apply to any of the following persons:
(1) A person acting in accordance with Section 12286.
(2) A person who has a permit to possess an assault weapon issued pursuant
to Section 12286 when he or she is acting in accordance with Section 12285
or 12286.
(r) Subdivisions (a) and (b) shall not apply to any of the following
persons:
(1) A person acting in accordance with Section 12285.
(2) A person acting in accordance with Section 12286 or 12290.
(s) Subdivision (b) shall not apply to the registered owner of an assault
weapon possessing that firearm in accordance with subdivision (c) of Section
12285.
(t) Subdivision (a) shall not apply to the importation into this state
of an assault weapon by the registered owner of that assault weapon, if
it is in accordance with the provisions of subdivision (c) of Section 12285.
(u) As used in this chapter, the date a firearm is an assault weapon
is the earliest of the following:
(1) The effective date of an amendment to Section 12276 that adds the
designation of the specified firearm.
(2) The effective date of the list promulgated pursuant to Section
12276.5 that adds or changes the designation of the specified firearm.
(3) The operative date of Section 12276.1, as specified in subdivision
(b) of that section.
(Added by Stats.1989, c. 19, § 3. Amended by Stats.1989,
c. 959, § 1; Stats.1990, c. 177 (S.B.830), § 5, eff. June 27,
1990; Stats.1990, c. 653 (S.B.2480), § 2; Stats.1991, c. 952 (A.B.1904),
§ 4; Stats.1991, c. 954 (S.B.263), § 4.5.)
(Amended by Stats.1992, c. 1326 (A.B.3552), § 13; Gov.Reorg.Plan
No. 1 of 1995, § 51, eff. July 12, 1995; Stats.1996, c. 305 (A.B.3103),
§ 52; Stats.1999, c. 129 (S.B.23), § 8.)
See next page for addresses and telephone numbers for counsel who argued in Supreme Court.
Name of Opinion Kasler v. Lockyer
__________________________________________________________________________________
Unpublished Opinion
Original Appeal
Original Proceeding
Review Granted XXX 61 Cal.App.4th 1237
Rehearing Granted
__________________________________________________________________________________
Opinion No. S069522
Date Filed: June 29, 2000
__________________________________________________________________________________
Court: Superior
County: Sacramento
Judge: Ronald B. Robie
__________________________________________________________________________________
Attorneys for Appellant:
Benenson & Kates, Don B. Kates; Stephen P. Halbrook; Michel & Associates, Trutanich Michel, C. D. Michel; and Donald E. J. Kilmer, Jr., for Plaintiffs and Appellants.
Michael Patrick Murray for National Rifle Association of America as Amicus Curiae on behalf of Plaintiffs and Appellants.
Steven Silver for National Rifle Association, California Rifle & Pistol Association, Gun Owners of California, the Second Amendment Foundation, and Lawyers Second Amendment Society as Amici Curiae on behalf of Plaintiffs and Appellants.
Richard E. Gardiner and Steven Silver for Law Enforcement Alliance of America as Amicus Curiae on behalf of Plaintiffs and Appellants.
Dan Schultz for Law Enforcement Alliance of America, Congress of Racial Equality, Womens’ Safety Alliance, Doctors for Integrity in Police Research, Prosecutors for Responsible Gun Ownership and Lawyers Second Amendment Society as Amici Curiae on behalf of Plaintiffs and Appellants.
__________________________________________________________________________________
Attorneys for Respondent:
Daniel E. Lungren and Bill Lockyer, Attorneys General, George Williamson and David P. Druliner, Chief Assistant Attorneys General, Ronald A. Bass, Assistant Attorney General, Paul V. Bishop, Kevin Holsclaw, John A. Gordnier and Timothy L. Rieger, Deputy Attorneys General, for Defendants and Respondents.
Louise H. Renne, City Attorney (San Francisco), D. Cameron Baker, Deputy
City Attorney, Owen A. Clemens; O’Melveny & Myers, Jon A. Crose, Jr.,
Robert C. Vanderet, Charles C. Lifland, Jennifer L. Isenberg: Mark D. Polston,
Brian J. Siebel and Dennis A. Henigan for Center to Prevent Handgun Violence,
California Police Chiefs’ Association, California Peace Officers’ Association,
California State Sheriffs’ Association and City and County of San Francisco
as Amici Curiae on behalf of Defendants and Respondents.
Counsel who argued in Supreme Court (not intended for publication with opinion):
Don B. Kates
Benenson & Kates
920 Arlene Way
Novato, CA 94947
(415) 883-5323
John A. Gordnier
Assistant Attorney General
455 Golden Gate Avenue, Suite 11000
San Francisco, CA 94102
(415) 703-5894